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 |
|---|---|---|---|---|---|---|
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 57 | $1,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 60 | $1,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 100 | $1,000 | thousands by filing date | put |
| CROCS INC COM | 227046109 | Stock | 62 | $1,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 682 | $1,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 250 | $1,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 25 | $1,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 28 | $1,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 256 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 394 | $1,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 55 | $1,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 100 | $1,000 | thousands by filing date | put |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 100 | $1,000 | thousands by filing date | put |
| VIRTUSA CORP | 92827P102 | COM | 21 | $1,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 59 | $1,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 33 | $1,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 1,448 | $1,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 787 | $1,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 800 | $1,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 15 | $1,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 9 | $1,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 328 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 63 | $1,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 315 | $1,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 375 | $1,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 255 | $1,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 19 | $1,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 10 | $1,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 10 | $1,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 92 | $1,000 | thousands by filing date | |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 147 | $1,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 55 | $1,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 75 | $1,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 114 | $1,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 200 | $1,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 100 | $1,000 | thousands by filing date | call |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 1,000 | $1,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 1,000 | $1,000 | thousands by filing date | principal |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 800 | $1,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| ORAGENICS INC | 684023203 | COM NEW | 1,848 | $1,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 900 | $1,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 11 | $1,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 816 | $1,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 1,000 | $1,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 600 | $1,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 796 | $1,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 1,600 | $1,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 78 | $1,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 115 | $1,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 133 | $1,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 54 | $1,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 1,500 | $1,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 450 | $1,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,139 | $1,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 1,103 | $1,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 232 | $1,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 1,550 | $1,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 250 | $1,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 100 | $1,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 2,677 | $1,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 46 | $1,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 309 | $1,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 500 | $1,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 1,500 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347X344 | ULTRASHT 3-7YR | 39 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H541 | PSHS AGRI SHR38 | 18 | $1,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 1,150 | $1,000 | thousands by filing date | |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 7,168 | $1,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 888 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347X476 | SHT KBW REGBNK | 43 | $1,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P131 | W EXP 06/11/201 | 17,715 | $1,000 | thousands by filing date | |
| NORTHWEST BIOTHERAPEUTICS IN | 66737P113 | *W EXP 99/99/999 | 1,508 | $1,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 1,322 | $1,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225301 | UNIT 99/99/9999 | 303 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 14 | $1,000 | thousands by filing date | |
| First Financial Bancorp Warrants | 320209117 | Warrant | 121 | $1,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 1,180 | $1,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 612 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 51 | $1,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 422 | $1,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 808 | $1,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 204 | $1,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 1,000 | $1,000 | thousands by filing date | principal |
| EVOKE PHARMA INC | 30049G104 | COM | 353 | $1,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 140 | $1,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 37 | $1,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 872 | $1,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 1,000 | $1,000 | thousands by filing date | principal |
| SMART & FINAL STORES INC | 83190B101 | COM | 83 | $1,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 115 | $1,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 1,000 | $1,000 | thousands by filing date | put |
| ONCOSEC MED INC | 68234L207 | COM NEW | 616 | $1,000 | thousands by filing date | |
| MABVAX THERAPEUTICS HLDGS INC COM NEW | 55414P504 | COM | 134 | $1,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 92 | $1,000 | thousands by filing date | |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 1,188 | $1,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 2,770 | $1,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 2,200 | $1,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 15,122 | $1,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 1,000 | $1,000 | thousands by filing date | principal |
| OHA INVT CORP | 67091U102 | COM | 383 | $1,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 1,000 | $1,000 | thousands by filing date | principal |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 2,448 | $1,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 1,575 | $1,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 1,000 | $1,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 1,000 | $1,000 | thousands by filing date | principal |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 421 | $1,000 | thousands by filing date | |
| ROYAL BANK OF CANADA EXCHANGE TRADED NOTES DUE JULY 19, 2034 LINKED TO THE | 78011D104 | ETF | 103 | $1,000 | thousands by filing date | |
| JM GLOBAL HLDG CO | 46590H101 | COM | 100 | $1,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740P320 | IPTH LIVESTK | 21 | $1,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789118 | *W EXP 12/17/202 | 6,984 | $1,000 | thousands by filing date | |
| MONSTER DIGITAL INC | 61174L113 | *W EXP 99/99/999 | 3,175 | $1,000 | thousands by filing date | |
| OPGEN INC | 68373L117 | *W EXP 05/05/202 | 6,144 | $1,000 | thousands by filing date | |
| TCP International Holdings Ltd | H84689100 | COMMON | 523 | $1,000 | thousands by filing date | |
| PACIFIC SPL ACQUISITION CORP | G68588121 | *W EXP 10/20/202 | 6,100 | $1,000 | thousands by filing date | |
| COPSYNC INC | 217712207 | COM NEW | 1,210 | $1,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T129 | *W EXP 04/13/201 | 7,161 | $1,000 | thousands by filing date | |
| CERECOR INC | 15671L125 | *W EXP 04/20/201 | 1,180 | $1,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255153 | *W | 4,200 | $1,000 | thousands by filing date | |
| SIGNAL GENETICS INC | 826640104 | Cmn | 1,996 | $1,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E207 | Pref Stk | 408 | $1,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P116 | *W EXP 06/19/202 | 9,926 | $1,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORRESTER RESH INC | 346563109 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO | 277461406 | COM NEW | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 69 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VICOR CORP | 925815102 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHEMOCENTRYX INC | 16383L106 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JOINT CORP | 47973J102 | COM | 139 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PGT INNOVATIONS INC | 69336V101 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 145 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KOPIN CORP | 500600101 | COMMON STOCK | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 202 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Gilat Satellite Network | M51474118 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 154 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QLT INC | 746927102 | COMMON STOCK | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 102 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUNA INNOVATIONS INC | 550351100 | COM | 221 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GULF IS FABRICATION INC | 402307102 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DENBURY RES INC | 247916208 | COM NEW | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SYNERGY PHARMACEUTICALS DEL | 871639118 | *W EXP 12/06/201 | 312 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 415 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANRO CORP | 066800103 | COM | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIBER INC | 17163B102 | COM | 244 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMATION CORP | 45245A107 | COM | 53 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELLIS PERRY INTL INC | 288853104 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUMOS NETWORKS CORP | 550283105 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAST THERAPEUTICS INC | 576314108 | COM | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARTE-HANKS INC | 416196103 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XO GROUP INC | 983772104 | COM | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEONODE INC | 64051M402 | COM NEW | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEIN MART INC | 858375108 | COM | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Galena Biopharma Inc | 363256108 | COM | 1,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELADON GROUP INC | 150838100 | COM | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THESTREET INC | 88368Q103 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTRX CORP | 232828509 | COM PAR $.001 | 394 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INFOSONICS CORP | 456784107 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 458 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 1,645 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Leading Brands Inc. | 52170U207 | COM | 260 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 528 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 85 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 65 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 14,452 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 117 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALECTIN THERAPEUTICS INC | 363225111 | W EXP 03/28/201 | 2,912 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 706 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNERGY PHARMACEUTICALS DEL | 871639209 | UNIT 12/06/20166 | 152 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOCYTE CORP | 68235C107 | COM | 85 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 32,305 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 59 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| URANIUM RES INC | 916901705 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELCATH SYS INC | 24661P500 | COM PAR | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NET ELEMENT INC | 64111R201 | COM NEW | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHASERX INC | 71723F103 | COM | 180 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JANUS DETROIT STR TR | 47103U605 | ORGANICS ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PYXIS TANKERS INC | Y71726106 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 121 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740D830 | RTRN DISABILIT | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PAVMED INC | 70387R114 | *W EXP 01/29/202 | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIVEO CORP CDA | 17878Y108 | COM | 154 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 123 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 248 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BENITEC BIOPHARMA LTD | 082053117 | *W EXP 08/14/202 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 7,593 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JENSYN ACQUISITION CORP | 47632B201 | UNIT 99/99/9999 | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 318 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELECTRUM SPL ACQUISITION COR | G3105C112 | *W EXP 06/16/202 | 697 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES EDGE MSCI MULTIFACTOR INDUSTRIALS ETF | 46435G557 | ETF | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 53 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TOWERSTREAM CORP COM NEW | 892000209 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 1,292 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 3,524 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARINGTON HILCO ACQUISITION | 06759V127 | *W EXP 02/11/202 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARINGTON HILCO ACQUISITION | 06759V119 | RIGHT 08/11/2017 | 1,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CSOP ETF TR | 12649L303 | CHINA CSI 300 | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y628 | ATHENA HGH DIV | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANDINA ACQUISITION CORP II | G0441P120 | RIGHT 09/01/2017 | 1,150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANDINA ACQUISITION CORP II | G0441P138 | *W EXP 11/23/202 | 700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDOVEX CORP | 58504H119 | *W EXP 12/24/201 | 820 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELTA TECHNOLOGY HLDGS LTD | G8477B113 | *W EXP 12/18/201 | 700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TROVAGENE INC | 897238200 | UNIT 12/31/2017 | 240 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TR II | 73937B548 | DEV EUR PA | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HONGLI CLEAN ENERGY TECHNOLO | 438586109 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC SPL ACQUISITION CORP | G68588113 | RIGHT 03/15/2017 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Capnia, Inc. | 14066L105 | Common | 253 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KLR ENERGY WRT 11.5 09/16/22 | 49877M116 | *W EXP 09/16/202 | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REAL GOODS SOLAR INC | 75601N302 | CL A NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XG TECHNOLOGY INC | 98372A119 | *W EXP 03/26/201 | 611 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |