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 |
|---|---|---|---|---|---|---|
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 328 | $7,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 808 | $7,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 4,217 | $7,000 | thousands by filing date | |
| TOFUTTI BRANDS INC | 88906B105 | COM | 2,858 | $7,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 3,868 | $7,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 5,612 | $7,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 6,182 | $7,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 800 | $7,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,847 | $7,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 4,469 | $7,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 259 | $7,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 2,167 | $7,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 498 | $7,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 7,274 | $7,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 3,699 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 155 | $7,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 13,802 | $7,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 291 | $7,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,991 | $7,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 500 | $7,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 135 | $7,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,500 | $7,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 1,075 | $7,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,876 | $7,000 | thousands by filing date | |
| CROSSROADS CAP INC COM | 227656105 | COM | 4,046 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 350 | $7,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 3,914 | $7,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 440 | $7,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 1,402 | $7,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 730 | $7,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 1,980 | $7,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 5,448 | $7,000 | thousands by filing date | |
| VIOLIN MEMORY INC COM NEW | 92763A309 | Stock | 9,336 | $7,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 696 | $7,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 6,400 | $7,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 6,260 | $7,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 5,313 | $7,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142100 | COM | 3,812 | $7,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 4,750 | $6,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 200 | $6,000 | thousands by filing date | put |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 120 | $6,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 460 | $6,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 286 | $6,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 228 | $6,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 268 | $6,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 223 | $6,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 200 | $6,000 | thousands by filing date | put |
| SPLUNK INC | 848637104 | COM | 100 | $6,000 | thousands by filing date | put |
| WHOLE FOODS MKT INC | 966837106 | COM | 200 | $6,000 | thousands by filing date | call |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 500 | $6,000 | thousands by filing date | put |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 545 | $6,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 412 | $6,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 100 | $6,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,000 | $6,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,000 | $6,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 2,431 | $6,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 251 | $6,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 1,912 | $6,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 414 | $6,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 296 | $6,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 3,000 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 250 | $6,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 200 | $6,000 | thousands by filing date | call |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,934 | $6,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 994 | $6,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 6,950 | $6,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 200 | $6,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 3,490 | $6,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 1,045 | $6,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 26,060 | $6,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 17,875 | $6,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 500 | $6,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 738 | $6,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 500 | $6,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 672 | $6,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 10,715 | $6,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 63,721 | $6,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 2,667 | $6,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 1,689 | $6,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 1,438 | $6,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 4,888 | $6,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 276 | $6,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 10,500 | $6,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 358 | $6,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 419 | $6,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 581 | $6,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 1,898 | $6,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,462 | $6,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 3,659 | $6,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 2,690 | $6,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 256 | $6,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 3,974 | $6,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 1,576 | $6,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 483 | $6,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 1,000 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 250 | $6,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 3,392 | $6,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,681 | $6,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 3,749 | $6,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 1,935 | $6,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W206 | UNIT 12/31/2021T | 576 | $6,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 2,211 | $6,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 3,834 | $6,000 | thousands by filing date | |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 1,346 | $6,000 | thousands by filing date | |
| ADVANCEPIERRE FOODS HLDGS IN | 00782L107 | COM | 200 | $6,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 3,010 | $6,000 | thousands by filing date | |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 626 | $6,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 3,541 | $6,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247107 | COM | 600 | $6,000 | thousands by filing date | |
| GORES HOLDINGS INC-CW20 | 382866119 | Warrants | 5,364 | $6,000 | thousands by filing date | |
| RECON CAP SER TR | 75623U508 | BULLMARK LATAM | 200 | $6,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 617 | $5,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 300 | $5,000 | thousands by filing date | put |
| BANCFIRST CORP | 05945F103 | COM | 62 | $5,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 1,867 | $5,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 1,700 | $5,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 424 | $5,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 377 | $5,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 477 | $5,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 387 | $5,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 1,608 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 187 | $5,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 6,614 | $5,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 163 | $5,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 1,080 | $5,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 9,012 | $5,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 686 | $5,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 182 | $5,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 463 | $5,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 647 | $5,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 100 | $5,000 | thousands by filing date | put |
| VOLITIONRX LTD | 928661107 | COM | 996 | $5,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 744 | $5,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 4,065 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 10,000 | $5,000 | thousands by filing date | principal |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 9,180 | $5,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 5,000 | $5,000 | thousands by filing date | principal |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,860 | $5,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 6,751 | $5,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 7,498 | $5,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 1,454 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A749 | USD COVERED BD | 54 | $5,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 543 | $5,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 5,340 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 866 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 100 | $5,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 2,077 | $5,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 2,195 | $5,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 4,064 | $5,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 8,624 | $5,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 2,797 | $5,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 156 | $5,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 498,179 | $5,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 2,482 | $5,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 368 | $5,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 690 | $5,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 2,628 | $5,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 922 | $5,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 750 | $5,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 603 | $5,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931503 | COM PAR NEW | 1,696 | $5,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 5,012 | $5,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 4,989 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X149 | FNDMTL US SHRT | 100 | $5,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 844 | $5,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 907 | $5,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 210 | $5,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 1,787 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 200 | $5,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 1,734 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 204 | $5,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 87 | $5,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 2,605 | $5,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 5,000 | $5,000 | thousands by filing date | principal |
| Medovex Corp | 58504H101 | COM | 3,104 | $5,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 500 | $5,000 | thousands by filing date | |
| CERECOR INC | 15671L117 | *W EXP 10/20/201 | 2,994 | $5,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 4,702 | $5,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 8,689 | $5,000 | thousands by filing date | |
| INVENTERGY GLOBAL INC | 46123X409 | COM NEW ADDED | 3,178 | $5,000 | thousands by filing date | |
| DATARAM NV ORD | 238108401 | COM | 3,900 | $5,000 | thousands by filing date | |
| PACE HLDGS CORP | G6865N129 | UNIT 99/99/9999 | 500 | $5,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002104 | COM | 11,557 | $5,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 100 | $4,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,098 | $4,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 100 | $4,000 | thousands by filing date | put |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,777 | $4,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 155 | $4,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 261 | $4,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 1,000 | $4,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 1,500 | $4,000 | thousands by filing date | put |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 1,458 | $4,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 1,270 | $4,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 402 | $4,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 97 | $4,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 264 | $4,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 212 | $4,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 3,997 | $4,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 326 | $4,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 111 | $4,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 644 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 61 | $4,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 1,808 | $4,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 1,634 | $4,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 312 | $4,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 27,299 | $4,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 200 | $4,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 5,745 | $4,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 1,600 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 90 | $4,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 12,520 | $4,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 145 | $4,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 338 | $4,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 643 | $4,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 3,000 | $4,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 365 | $4,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 2,558 | $4,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 6,711 | $4,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 5,993 | $4,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 1,710 | $4,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 1,476 | $4,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 4,900 | $4,000 | thousands by filing date | call |
| ACTIVE POWER INC | 00504W308 | COM NEW | 15,005 | $4,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 1,883 | $4,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 1,105 | $4,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 2,000 | $4,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 300 | $4,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 349 | $4,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 110 | $4,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 5,358 | $4,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 8,506 | $4,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 575 | $4,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 2,048 | $4,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 585 | $4,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 4,720 | $4,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 6,142 | $4,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 820 | $4,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 3,675 | $4,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 636 | $4,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 622 | $4,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 288 | $4,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 200 | $4,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 751 | $4,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 7,839 | $4,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 200 | $4,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 3,484 | $4,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 4,000 | $4,000 | thousands by filing date | principal |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 132 | $4,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 888 | $4,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 21,576 | $4,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 1,027 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X210 | MSCI CHINA ETF | 190 | $4,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 432 | $4,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 483 | $4,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 1,528 | $4,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 3,062 | $4,000 | thousands by filing date | |
| GLOBAL PARTNER ACQUISITION C | 37954X105 | COM | 400 | $4,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 316 | $4,000 | thousands by filing date | |
| AOXIN TIANLI GROUP INC | G0404E112 | NEW SHS | 2,179 | $4,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 1,808 | $4,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T309 | COM NEW | 22,793 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y636 | MKT ADPTV ETF | 181 | $4,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 1,797 | $4,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740100 | COM | 398 | $4,000 | thousands by filing date | |
| VENAXIS INC | 92262A206 | COM NEW | 1,453 | $4,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 53 | $3,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 100 | $3,000 | thousands by filing date | put |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 118 | $3,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 100 | $3,000 | thousands by filing date | call |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 100 | $3,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 150 | $3,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 3,676 | $3,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 7,049 | $3,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 2,584 | $3,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 100 | $3,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 742 | $3,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 586 | $3,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 479 | $3,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 52 | $3,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 5,654 | $3,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 819 | $3,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 1,131 | $3,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 671 | $3,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 283 | $3,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153204 | COM NEW | 57 | $3,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 510 | $3,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 4,000 | $3,000 | thousands by filing date | principal |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 560 | $3,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,002 | $3,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 253 | $3,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 315 | $3,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 200 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 200 | $3,000 | thousands by filing date | call |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 4,078 | $3,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 100 | $3,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 79 | $3,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 194 | $3,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 1,220 | $3,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 600 | $3,000 | thousands by filing date | put |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 91 | $3,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 1,452 | $3,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 772 | $3,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 164 | $3,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 317 | $3,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 2,000 | $3,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 140 | $3,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 7,013 | $3,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 1,000 | $3,000 | thousands by filing date | principal |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 26,395 | $3,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 265 | $3,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 925 | $3,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 3,601 | $3,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 126 | $3,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 449 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 957 | $3,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 1,325 | $3,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 8,390 | $3,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 52,520 | $3,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 3,597 | $3,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 3,018 | $3,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 878 | $3,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 1,886 | $3,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 216 | $3,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 11,296 | $3,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 2,378 | $3,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 608 | $3,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 2,980 | $3,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 1,704 | $3,000 | thousands by filing date | |
| SUNTRUST BKS INC | 867914111 | *W EXP 11/14/201 | 500 | $3,000 | thousands by filing date | |
| SIGNATURE BANK-CW18 | 82669G112 | Wt | 30 | $3,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 1,532 | $3,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 339 | $3,000 | thousands by filing date | |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 4,475 | $3,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 1,700 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B305 | LNG SHT TRACK | 158 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 150 | $3,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 470 | $3,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 106 | $3,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 1,295 | $3,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358400 | COM PAR NEW | 1,935 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K125 | DAILY S&P OIL | 137 | $3,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 688 | $3,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 300 | $3,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 1,311 | $3,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 125 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T456 | ETN LKD 34 | 200 | $3,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 2,282 | $3,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 390 | $3,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 600 | $3,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 674 | $3,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 2,851 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 88 | $3,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 90 | $3,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 782 | $3,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 3,675 | $3,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 1,831 | $3,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 1,162 | $3,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 3,000 | $3,000 | thousands by filing date | principal |
| FOGO DE CHAO INC | 344177100 | COM | 325 | $3,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 1,000 | $3,000 | thousands by filing date | principal |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 993 | $3,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789126 | SHS | 266 | $3,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 81 | $3,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505863 | REX GOLD SP500 | 107 | $3,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 3,928 | $3,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C120 | UNIT 99/99/9999 | 300 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L792 | ETRACS 2XLEV | 98 | $3,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789100 | UNIT 12/17/2021T | 310 | $3,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T501 | COM PAR | 1,232 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E208 | DAILY SLVR IDX | 100 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B466 | ULTRA JR MNRS NW | 28 | $3,000 | thousands by filing date | |
| INNOCOLL HLDGS PLC | G4783X105 | SHS | 468 | $3,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 1,738 | $3,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G102 | SPONSORED ADR | 2,719 | $3,000 | thousands by filing date | |
| WOWO LTD | 98212L101 | SPONSORED ADR | 715 | $3,000 | thousands by filing date | |
| VESTIN RLTY MTG II INC | 92549X300 | COM PAR | 1,059 | $3,000 | thousands by filing date | |
| E COMPASS ACQUISITION CORP | G2920Y200 | UNIT 99/99/9999 | 300 | $3,000 | thousands by filing date | |
| INSPIREMD INC | 45779A507 | Cmn | 42,547 | $3,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G607 | RESTAURANT ETF | 133 | $3,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 572 | $2,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 200 | $2,000 | thousands by filing date | call |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 142 | $2,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 109 | $2,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 100 | $2,000 | thousands by filing date | put |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 115 | $2,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 30 | $2,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 400 | $2,000 | thousands by filing date | put |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 41 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 162 | $2,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 161 | $2,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 234 | $2,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 160 | $2,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 297 | $2,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 201 | $2,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 139 | $2,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 135 | $2,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 1,200 | $2,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 750 | $2,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,017 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 3,000 | $2,000 | thousands by filing date | principal |
| FULL HSE RESORTS INC | 359678109 | COM | 1,000 | $2,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 688 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 50 | $2,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 100 | $2,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 694 | $2,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 304 | $2,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 148 | $2,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 887 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 33 | $2,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 109 | $2,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 1,000 | $2,000 | thousands by filing date | principal |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 58 | $2,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 116 | $2,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 200 | $2,000 | thousands by filing date | put |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 237 | $2,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 100 | $2,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 200 | $2,000 | thousands by filing date | call |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 150 | $2,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 332 | $2,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,000 | $2,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 2,927 | $2,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 853 | $2,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 308 | $2,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 2,600 | $2,000 | thousands by filing date | put |
| SYNERON MEDICAL LTD | M87245102 | ORD | 250 | $2,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 2,300 | $2,000 | thousands by filing date | |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 364 | $2,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 2,018 | $2,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 1,397 | $2,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 2,000 | $2,000 | thousands by filing date | principal |
| QAD INC-B | 74727D207 | Common | 121 | $2,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 100 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 703 | $2,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 8,137 | $2,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 152 | $2,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 166 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 96 | $2,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 938 | $2,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 546 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H453 | FUND | 83 | $2,000 | thousands by filing date | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 385 | $2,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F102 | SHS | 4,471 | $2,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 11,533 | $2,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 1,061 | $2,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 100 | $2,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 166 | $2,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,200 | $2,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 969 | $2,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 470 | $2,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 1,195 | $2,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 226 | $2,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 583 | $2,000 | thousands by filing date | |
| ACRE RLTY INVS INCORPORATED REIT | 00489F106 | REIT | 2,000 | $2,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 300 | $2,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 500 | $2,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 200 | $2,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 152 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 2,400 | $2,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 1,100 | $2,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 1,168 | $2,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 408 | $2,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 1,000 | $2,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X420 | GLBL HGD SMLCP | 98 | $2,000 | thousands by filing date | |
| REALITY | 75605A603 | SHS ETF TR DIVCON DIV ETF | 100 | $2,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E120 | *W EXP 02/28/202 | 2,912 | $2,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 1,186 | $2,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 1,387 | $2,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 4,039 | $2,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 2,000 | $2,000 | thousands by filing date | principal |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 2,000 | $2,000 | thousands by filing date | principal |
| EnerJex Resources Inc | 292758406 | COM | 3,893 | $2,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 1,180 | $2,000 | thousands by filing date | |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 2,000 | $2,000 | thousands by filing date | principal |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 3,639 | $2,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 463 | $2,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM | 759757107 | Stock | 13,134 | $2,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 1,000 | $2,000 | thousands by filing date | principal |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 300 | $2,000 | thousands by filing date | |
| ONCOBIOLOG-CW17A | 68235M113 | EQUITY WRT | 4,029 | $2,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 2,722 | $2,000 | thousands by filing date | |
| CF CORP | G20307107 | SHS CL A | 200 | $2,000 | thousands by filing date | |
| WISDOMTREE STRONG DOLLAR EM | 97717X487 | ETP | 78 | $2,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247206 | UNIT 99/99/9999 | 154 | $2,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 2,148 | $2,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A606 | COM NEW | 6,923 | $2,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536113 | *W EXP 08/12/202 | 41,100 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P288 | IPTH SOFTS ETN | 87 | $2,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 4,300 | $2,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 20 | $1,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 100 | $1,000 | thousands by filing date | call |
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 |