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 |
|---|---|---|---|---|---|---|
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 8,868 | $16,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 1,599 | $16,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 4,716 | $16,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 142 | $16,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 541 | $16,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 5,427 | $16,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 689 | $16,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 1,718 | $16,000 | thousands by filing date | |
| HENNESSY CAP ACQUISITION COR | 42588J100 | COM | 1,600 | $16,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P100 | COM | 3,320 | $16,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 500 | $15,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,990 | $15,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 389 | $15,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 16,400 | $15,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 1,317 | $15,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 763 | $15,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 1,871 | $15,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 963 | $15,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,264 | $15,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,869 | $15,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,099 | $15,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 6,017 | $15,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 1,242 | $15,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 540 | $15,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 8,170 | $15,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 3,000 | $15,000 | thousands by filing date | call |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 3,112 | $15,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 830 | $15,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 4,187 | $15,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 3,656 | $15,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 849 | $15,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 1,914 | $15,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 1,050 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 801 | $15,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 2,206 | $15,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 483 | $15,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 4,781 | $15,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 49,519 | $15,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 1,255 | $15,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 2,759 | $15,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 11,264 | $15,000 | thousands by filing date | |
| ATLANTIC ALLIANCE PARTNER CO | G04897107 | SHS | 1,430 | $15,000 | thousands by filing date | |
| JM GLOBAL HLDG CO | 46590H200 | UNIT 99/99/9999 | 1,518 | $15,000 | thousands by filing date | |
| SKYPEOPLE FRUIT JUICE INC | 83086T307 | COM | 1,629 | $15,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 573 | $14,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 711 | $14,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 294 | $14,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 315 | $14,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 2,151 | $14,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 316 | $14,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 1,972 | $14,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 685 | $14,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,200 | $14,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 876 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 252 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 905 | $14,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,906 | $14,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 500 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 500 | $14,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,000 | $14,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 9,862 | $14,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 3,000 | $14,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 100 | $14,000 | thousands by filing date | call |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 3,247 | $14,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 9,135 | $14,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 1,046 | $14,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 3,827 | $14,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 500 | $14,000 | thousands by filing date | put |
| HOWARD BANCORP INC COM | 442496105 | COM | 1,054 | $14,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 989 | $14,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 1,399 | $14,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 5,405 | $14,000 | thousands by filing date | |
| COLUMBIA INTERMEDIATE | 19761R703 | INTERMED MUN | 251 | $14,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 577 | $14,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R802 | CORE BD ETF | 257 | $14,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 4,642 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 903 | $14,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 15,417 | $14,000 | thousands by filing date | |
| CYREN LTD | M26895108 | SHS | 5,859 | $14,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 3,323 | $14,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 4,566 | $14,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 502 | $14,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 2,495 | $14,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 324 | $14,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 6,242 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 1,350 | $14,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505830 | REX VOLMAX SHORT | 400 | $14,000 | thousands by filing date | |
| ETFS TR | 26923J404 | DIV FCT DEV EU | 600 | $14,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 100 | $13,000 | thousands by filing date | call |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 200 | $13,000 | thousands by filing date | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 5,833 | $13,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 989 | $13,000 | thousands by filing date | |
| INTEGER HLDGS CORP | 45826H109 | COM | 623 | $13,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 694 | $13,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 859 | $13,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 447 | $13,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 2,064 | $13,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 500 | $13,000 | thousands by filing date | call |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 893 | $13,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 100 | $13,000 | thousands by filing date | call |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 2,275 | $13,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 320 | $13,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 2,134 | $13,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 496 | $13,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 740 | $13,000 | thousands by filing date | |
| CAMBRIA EMERGING SHAREHOLDER YIELD ETF | 132061706 | ETF | 500 | $13,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 1,753 | $13,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 7,410 | $13,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 5,270 | $13,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 417 | $13,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 771 | $13,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 400 | $13,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 199 | $13,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 758 | $13,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 1,960 | $13,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 2,523 | $13,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 579 | $13,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 7,800 | $13,000 | thousands by filing date | call |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,000 | $13,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 503 | $13,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 18,714 | $13,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 1,313 | $13,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 1,460 | $13,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 10,000 | $13,000 | thousands by filing date | principal |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 8,982 | $13,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 59,785 | $13,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 889 | $13,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 1,819 | $13,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 1,252 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 1,000 | $13,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 7,579 | $13,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 1,014 | $13,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 2,002 | $13,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 16,016 | $13,000 | thousands by filing date | |
| IPATH INVERSE S&P 500 VIX SH | 06740L592 | ETP | 457 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 318 | $13,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 9,267 | $13,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 641 | $13,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,338 | $13,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 2,489 | $13,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 1,396 | $13,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 778 | $13,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 3,096 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B664 | ULTSHT OIL GAS | 1,000 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K265 | DLY ENR BEAR1X | 625 | $13,000 | thousands by filing date | |
| Terrapin 3 Acquisition Corporation | 88104P104 | Common | 1,285 | $13,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 210 | $12,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 1,000 | $12,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 183 | $12,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 343 | $12,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 1,449 | $12,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 262 | $12,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 604 | $12,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,732 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 234 | $12,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 361 | $12,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 2,281 | $12,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 2,407 | $12,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 8,443 | $12,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 2,001 | $12,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 707 | $12,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 2,546 | $12,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 1,590 | $12,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 406 | $12,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 2,064 | $12,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,631 | $12,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 4,348 | $12,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 7,881 | $12,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 273 | $12,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 636 | $12,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 1,232 | $12,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 300 | $12,000 | thousands by filing date | put |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,597 | $12,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,907 | $12,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 5,588 | $12,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 652 | $12,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 4,831 | $12,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 27,895 | $12,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 2,493 | $12,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 1,776 | $12,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,831 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 197 | $12,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 5,000 | $12,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 1,515 | $12,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 10,169 | $12,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 1,299 | $12,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 560 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 687 | $12,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 1,340 | $12,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 792 | $12,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 4,000 | $12,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 3,622 | $12,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 450 | $12,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 4,500 | $12,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 977 | $12,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 9,605 | $12,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 4,996 | $12,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 3,305 | $12,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 446 | $12,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 1,262 | $12,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 1,207 | $12,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 3,610 | $12,000 | thousands by filing date | |
| ISHARES INC | 46434G871 | MIN VOLA EM | 487 | $12,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 1,388 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K497 | DLY CYB SEC BEAR | 411 | $12,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 100 | $11,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 450 | $11,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 657 | $11,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 2,407 | $11,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 5,535 | $11,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 2,526 | $11,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 345 | $11,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 368 | $11,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 1,039 | $11,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 750 | $11,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 1,187 | $11,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 580 | $11,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,234 | $11,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 1,218 | $11,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 2,194 | $11,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 548 | $11,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 2,028 | $11,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 707 | $11,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 114 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X815 | ULTRA MDCAP400 | 169 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 422 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 398 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 409 | $11,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 643 | $11,000 | thousands by filing date | |
| PROSHARES TR II | 74347W270 | ULTRA YEN NEW | 147 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 225 | $11,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 5,000 | $11,000 | thousands by filing date | principal |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 440 | $11,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 420 | $11,000 | thousands by filing date | call |
| ARQULE INC | 04269E107 | COM | 6,000 | $11,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 1,987 | $11,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 3,781 | $11,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 7,000 | $11,000 | thousands by filing date | principal |
| S&W SEED COMPANY COM | 785135104 | COM | 2,175 | $11,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 6,112 | $11,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 1,029 | $11,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 673 | $11,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 264 | $11,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D787 | VIX MID TERM | 822 | $11,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 450 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 675 | $11,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 2,731 | $11,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 3,901 | $11,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 2,495 | $11,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 2,548 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 60 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P122 | IPTH S&P GSCI | 509 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P163 | IPTH SUGAR ETN | 301 | $11,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 1,323 | $11,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 2,844 | $11,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 894 | $11,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 429 | $11,000 | thousands by filing date | |
| LONG IS ICED TEA CORP | 54267E104 | COM | 2,530 | $11,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 2,020 | $11,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 4,681 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 518 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 640 | $11,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 3,162 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 455 | $11,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 1,655 | $11,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC COM NEW | 23305L107 | Stock | 9,580 | $11,000 | thousands by filing date | |
| DBX ETF TR XTRCK MSCI EUROZ | 233051614 | ETF | 469 | $11,000 | thousands by filing date | |
| DEUTSCHE X-TRACKERS DOW JONES HEDGED INTERNATIONAL REAL ESTATE ETF | 233051689 | ETF | 484 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P312 | IPTH ENRGY ETN | 673 | $11,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 2,076 | $11,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 400 | $10,000 | thousands by filing date | call |
| WEIS MKTS INC COM | 948849104 | Stock | 186 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 405 | $10,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 651 | $10,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 848 | $10,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 214 | $10,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 94 | $10,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 1,501 | $10,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 1,249 | $10,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 336 | $10,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 7,122 | $10,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,067 | $10,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 454 | $10,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 200 | $10,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 217 | $10,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 4,499 | $10,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 827 | $10,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,961 | $10,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,030 | $10,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 4,198 | $10,000 | thousands by filing date | |
| ROFIN-SINAR TECHNOLOGIES INC | 775043102 | COMMON STOCK | 301 | $10,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 1,000 | $10,000 | thousands by filing date | put |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 1,452 | $10,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 722 | $10,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 3,020 | $10,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 11,598 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 700 | $10,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,342 | $10,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 1,338 | $10,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 5,265 | $10,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 3,487 | $10,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 37,949 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 381 | $10,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 1,905 | $10,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 753 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 420 | $10,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 2,080 | $10,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 526 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347X179 | ULT MSCIMEX CAPP | 400 | $10,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,200 | $10,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 2,337 | $10,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 1,842 | $10,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 7,149 | $10,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 11,879 | $10,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 6,058 | $10,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 1,543 | $10,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 600 | $10,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 4,819 | $10,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 2,727 | $10,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 1,600 | $10,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 12,070 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K299 | LTN AM BL 3X NEW | 108 | $10,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H209 | COM NEW | 4,975 | $10,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 1,277 | $10,000 | thousands by filing date | |
| FQF TR | 351680830 | O SHARES EUROP | 368 | $10,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195108 | UNIT 99/99/9999 | 966 | $10,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 5,531 | $10,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T100 | EXCH TRAD SPVXSP | 1,083 | $10,000 | thousands by filing date | |
| ETFS TR | 26923J107 | ZACKS LG CP US | 457 | $10,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 500 | $9,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 1,175 | $9,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 470 | $9,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 382 | $9,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 100 | $9,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 2,700 | $9,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 418 | $9,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 586 | $9,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 468 | $9,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 3,727 | $9,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 2,236 | $9,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 778 | $9,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 406 | $9,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 1,825 | $9,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 4,487 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,200 | $9,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 327 | $9,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 4,110 | $9,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 2,368 | $9,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 3,443 | $9,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 891 | $9,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 1,800 | $9,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | call |
| NETLIST INC | 64118P109 | COM | 7,500 | $9,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 1,050 | $9,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 529 | $9,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,883 | $9,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 1,137 | $9,000 | thousands by filing date | |
| FLEETMATICS GROUP PLC | G35569105 | COM | 149 | $9,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 3,068 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739H263 | FUND | 342 | $9,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 5,550 | $9,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 822 | $9,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 5,312 | $9,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 2,581 | $9,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 6,890 | $9,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 20,307 | $9,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 5,219 | $9,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 220 | $9,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 8,042 | $9,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,100 | $9,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 8,886 | $9,000 | thousands by filing date | |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 4,000 | $9,000 | thousands by filing date | principal |
| HOPFED BANCORP INC | 439734104 | COM | 778 | $9,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 718 | $9,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H566 | PS AGRI DS ETN | 370 | $9,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 1,405 | $9,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 449 | $9,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 3,978 | $9,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y743 | ADV GLBALPBETA | 315 | $9,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 838 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 400 | $9,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,110 | $9,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 648 | $9,000 | thousands by filing date | |
| Functionx Inc New Com New | 36077T207 | COMMON | 1,669 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 420 | $9,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 367 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G649 | ADAPTV JPN ETF | 400 | $9,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 9,000 | $9,000 | thousands by filing date | principal |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 3,856 | $9,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F395 | TREAS HEDGED HIG | 370 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B522 | JAP HED LOW VO | 392 | $9,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 619 | $9,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 10,259 | $9,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 244 | $8,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 1,040 | $8,000 | thousands by filing date | put |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 100 | $8,000 | thousands by filing date | put |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 805 | $8,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 289 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 155 | $8,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 470 | $8,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1,012 | $8,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 200 | $8,000 | thousands by filing date | call |
| ARDELYX INC | 039697107 | COM | 645 | $8,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 753 | $8,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 3,157 | $8,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 300 | $8,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 372 | $8,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 2,367 | $8,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,000 | $8,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 5,340 | $8,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 2,575 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 368 | $8,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 2,594 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 300 | $8,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 2,067 | $8,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 2,519 | $8,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 9,367 | $8,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 745 | $8,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 2,700 | $8,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 4,600 | $8,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 200 | $8,000 | thousands by filing date | put |
| MEI PHARMA INC | 55279B202 | COM NEW | 4,305 | $8,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 754 | $8,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 4,011 | $8,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 2,500 | $8,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 2,252 | $8,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 867 | $8,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 634 | $8,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 326 | $8,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,145 | $8,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $8,000 | thousands by filing date | principal |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 305 | $8,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 352 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 300 | $8,000 | thousands by filing date | put |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,400 | $8,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 4,762 | $8,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 4,603 | $8,000 | thousands by filing date | |
| REMARK MEDIA INC | 75954W107 | COM | 1,909 | $8,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 3,837 | $8,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 7,831 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L527 | 30 YR TREAS BULL | 191 | $8,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 936 | $8,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 2,111 | $8,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES IN | 18449C500 | COM PAR NEW | 2,198 | $8,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 987 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 199 | $8,000 | thousands by filing date | |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 5,000 | $8,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 364 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y301 | Cmn | 350 | $8,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 667 | $8,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D424 | 2XLEVE ETRACS WF | 410 | $8,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D432 | ETRACS MNTLY PAY | 498 | $8,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 1,332 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 1,500 | $8,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 100 | $8,000 | thousands by filing date | |
| POLARITYTE INC COM | 560690406 | Stock | 2,275 | $8,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 2,036 | $8,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 512 | $8,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 200 | $8,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 3,894 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G599 | MLTFACT ENERGY | 300 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G631 | MLTFACT UTILTS | 300 | $8,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y156 | SHS NEW 2016 | 2,177 | $8,000 | thousands by filing date | |
| MODSYS INTL LTD | M70378100 | SHS | 6,282 | $8,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505855 | REX GL HD FTSE | 263 | $8,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 16,716 | $8,000 | thousands by filing date | |
| TRIMTABS ETF TR | 89628W203 | FREE CSH FLOW | 361 | $8,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740209 | UNIT 10/20/2021 | 760 | $8,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 100 | $7,000 | thousands by filing date | put |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 769 | $7,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,044 | $7,000 | thousands by filing date | |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 152 | $7,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 947 | $7,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 100 | $7,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 16,281 | $7,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 121 | $7,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 2,275 | $7,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 1,591 | $7,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 923 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 144 | $7,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 2,450 | $7,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 1,463 | $7,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 1,279 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 260 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 555 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 184 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 288 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 255 | $7,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 1,727 | $7,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 5,169 | $7,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 1,811 | $7,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 1,804 | $7,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 3,700 | $7,000 | thousands by filing date | call |
| FBR & CO | 30247C400 | COM NEW | 580 | $7,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 87 | $7,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 106,298 | $7,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 3,681 | $7,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 2,705 | $7,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 26,854 | $7,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 300 | $7,000 | 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 |