13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-14, with 7,828 holding rows worth $181,087,019,000.
- Accession
- 0000950123-17-002293
- Filer
- CIK 1610520
- Filed
- 2017-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A combination report, 13,500 entries on the cover page, a total value of $181,087,019,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $181,087,055,000 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 |
|---|---|---|---|---|---|---|
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 4,909 | $75,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,729 | $75,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 5,778 | $75,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,987 | $75,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 4,829 | $75,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 3,689 | $75,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 117,225 | $75,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 7,899 | $75,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 1,894 | $75,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 5,929 | $75,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 1,573 | $75,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 2,919 | $75,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 596 | $75,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 4,922 | $75,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 3,311 | $75,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 2,243 | $74,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 5,182 | $74,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 4,165 | $74,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 7,358 | $74,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 7,116 | $74,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 17,600 | $74,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 2,769 | $74,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 13,667 | $74,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 7,923 | $74,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 17,259 | $74,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 7,269 | $74,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 7,130 | $73,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 298 | $73,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 1,990 | $73,000 | thousands by filing date | |
| BANK OF N T BUTTERFIELD & SO | G0772R208 | SHS NEW | 2,334 | $73,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 4,592 | $73,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 3,735 | $73,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 4,911 | $73,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 16,790 | $73,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 8,912 | $73,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 1,685 | $73,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 3,577 | $73,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 4,500 | $72,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 8,000 | $72,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 6,337 | $72,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 17,148 | $72,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153204 | COM NEW | 1,502 | $72,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 8,778 | $72,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 2,666 | $72,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 9,283 | $72,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 15,804 | $72,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 5,947 | $72,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 4,581 | $72,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 2,512 | $72,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 2,847 | $72,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 2,143 | $72,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 2,947 | $72,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 500 | $71,000 | thousands by filing date | put |
| TRUBRIDGE INC | 205306103 | COM | 2,970 | $71,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 2,850 | $71,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 4,175 | $71,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 33,647 | $71,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 1,905 | $71,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 6,897 | $71,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 6,947 | $71,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 12,237 | $70,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 3,757 | $70,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 4,594 | $70,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 3,772 | $70,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 1,514 | $70,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 17,584 | $70,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 3,702 | $70,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 2,690 | $70,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 3,191 | $70,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 2,997 | $70,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 18,623 | $70,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 5,047 | $69,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 2,440 | $69,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 6,345 | $69,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 5,694 | $69,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 16,325 | $69,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 27,707 | $69,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 5,305 | $69,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,061 | $69,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 4,986 | $69,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 3,414 | $69,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 3,055 | $68,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 2,737 | $68,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,453 | $68,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 3,517 | $68,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 3,600 | $68,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 848 | $68,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 17,500 | $68,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 12,509 | $68,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 16,882 | $68,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 9,707 | $68,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 11,729 | $68,000 | thousands by filing date | |
| Call - MTB $73.86 Exp 12/23/2018 | 55261F112 | Warrants | 855 | $68,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 2,827 | $68,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 3,407 | $68,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 1,348 | $67,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 1,045 | $67,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 12,878 | $67,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 2,365 | $67,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 2,500 | $67,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 3,331 | $67,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 1,774 | $67,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 5,750 | $67,000 | thousands by filing date | |
| PROSHARES TR | 74348A889 | GERMAN SOV/SUB | 1,918 | $67,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 3,620 | $67,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 5,656 | $66,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 4,066 | $66,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 4,548 | $66,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 1,327 | $66,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 899 | $66,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 25,339 | $66,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 6,385 | $66,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 1,893 | $66,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 4,514 | $66,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 888 | $66,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 4,828 | $66,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T332 | NT BCOMCL 36 | 1,929 | $66,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 781 | $65,000 | thousands by filing date | call |
| LIMONEIRA CO | 532746104 | COM | 3,034 | $65,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 2,225 | $65,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 6,593 | $65,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 6,337 | $65,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 3,053 | $65,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 75,000 | $65,000 | thousands by filing date | principal |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 8,313 | $65,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 13,881 | $65,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 19,301 | $64,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 6,177 | $64,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 1,952 | $64,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 16,568 | $64,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,922 | $64,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 6,180 | $64,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 2,912 | $64,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 1,675 | $64,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 4,071 | $64,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 7,000 | $64,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 3,784 | $64,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 2,354 | $64,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 2,383 | $64,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 1,554 | $64,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F577 | GEN DRUGS ETF | 3,000 | $64,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 1,000 | $63,000 | thousands by filing date | call |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 17,189 | $63,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 2,633 | $63,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 4,571 | $63,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 4,784 | $63,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 8,170 | $63,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P403 | RUSS2000 3X LG | 345 | $63,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 8,767 | $63,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,793 | $63,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 800 | $62,000 | thousands by filing date | put |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 5,509 | $62,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 4,164 | $62,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 4,397 | $62,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 4,379 | $62,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 3,061 | $62,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,705 | $62,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 5,000 | $62,000 | thousands by filing date | put |
| INTELSAT S A | L5140P101 | COM | 23,336 | $62,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 1,300 | $62,000 | thousands by filing date | put |
| SHILOH INDUSTRIES INC | 824543102 | COM | 8,954 | $62,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 2,590 | $62,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 3,858 | $62,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 4,178 | $62,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 1,779 | $62,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 2,370 | $62,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 7,731 | $61,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 1,730 | $61,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 2,797 | $61,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 4,119 | $61,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,025 | $61,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 36,885 | $61,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 2,097 | $61,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 13,430 | $61,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 4,996 | $61,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 1,448 | $61,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 4,266 | $61,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 6,565 | $61,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 64,993 | $61,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 7,215 | $61,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 700 | $60,000 | thousands by filing date | put |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 20,000 | $60,000 | thousands by filing date | put |
| CITY OFFICE REIT INC | 178587101 | COM | 4,529 | $60,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 8,149 | $60,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 50,284 | $60,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 18,056 | $60,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 1,802 | $60,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 3,198 | $60,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 3,233 | $60,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 5,681 | $60,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,935 | $60,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 2,954 | $59,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 3,797 | $59,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 3,216 | $59,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 6,291 | $59,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 12,100 | $59,000 | thousands by filing date | call |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 6,394 | $59,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 1,508 | $59,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 3,226 | $59,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 4,163 | $59,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 18,576 | $59,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 5,407 | $59,000 | thousands by filing date | |
| CENTRUE FINL CORP NEW | 15643B205 | COM NEW | 2,800 | $59,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 5,417 | $58,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 930 | $58,000 | thousands by filing date | put |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 12,859 | $58,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 1,970 | $58,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 2,691 | $58,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,278 | $58,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 2,949 | $58,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 4,500 | $58,000 | thousands by filing date | put |
| TANGOE INC/CT | 87582Y108 | COM | 7,392 | $58,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 2,613 | $58,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 3,173 | $58,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 20,998 | $58,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 5,821 | $58,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG CRUDE OIL | 74347W320 | ETF | 5,008 | $58,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 2,100 | $57,000 | thousands by filing date | put |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 11,262 | $57,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 2,133 | $57,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 1,760 | $57,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 5,000 | $57,000 | thousands by filing date | put |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 6,416 | $57,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 1,320 | $57,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 3,793 | $57,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 1,500 | $57,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 2,628 | $57,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 2,936 | $57,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 2,047 | $56,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 5,808 | $56,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 3,593 | $56,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 1,708 | $56,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 18,381 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 685 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 968 | $56,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 2,491 | $56,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 2,171 | $56,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 2,972 | $56,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 9,264 | $56,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 1,634 | $56,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,000 | $56,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y826 | MEIDELL TCT AD | 1,896 | $56,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 2,960 | $56,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 2,341 | $56,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 4,582 | $55,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 500 | $55,000 | thousands by filing date | call |
| CRA INTL INC | 12618T105 | COM | 1,501 | $55,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 2,101 | $55,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 3,139 | $55,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 2,987 | $55,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,254 | $55,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 4,729 | $55,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 2,540 | $55,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 54,210 | $55,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 19,797 | $55,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 57,303 | $55,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 4,101 | $55,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 1,213 | $55,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 116,234 | $55,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 3,210 | $55,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 2,854 | $55,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 6,215 | $55,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 1,264 | $54,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 11,494 | $54,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 3,059 | $54,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,949 | $54,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 8,643 | $54,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 3,280 | $54,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 2,535 | $54,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 2,488 | $54,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 4,357 | $54,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,638 | $54,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,062 | $54,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 2,746 | $54,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 2,482 | $54,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 1,360 | $54,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 3,084 | $54,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 1,045 | $54,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 14,595 | $54,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 4,236 | $54,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 988 | $53,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 700 | $53,000 | thousands by filing date | put |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 2,881 | $53,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 814 | $53,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 4,245 | $53,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 7,021 | $53,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 1,562 | $53,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 1,326 | $53,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 1,742 | $53,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 8,068 | $53,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 8,423 | $53,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 5,944 | $53,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 6,095 | $53,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 7,269 | $53,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,146 | $53,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 2,834 | $53,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 5,300 | $53,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 2,349 | $53,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 95,281 | $53,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 1,000 | $52,000 | thousands by filing date | put |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,457 | $52,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 4,987 | $52,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L469 | 2 YR TREAS BULL | 835 | $52,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 2,787 | $52,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 3,030 | $52,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 7,214 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74347X484 | ULT KBW REGBNK | 319 | $52,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 50,142 | $52,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 5,931 | $52,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 4,657 | $52,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 4,219 | $52,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 4,500 | $51,000 | thousands by filing date | call |
| WINGSTOP INC COM | 974155103 | Stock | 1,732 | $51,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 4,380 | $51,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 6,429 | $51,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 18,348 | $51,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 7,962 | $51,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 2,157 | $51,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 3,206 | $51,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 1,582 | $51,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,621 | $51,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 1,821 | $51,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 20,417 | $51,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 2,934 | $51,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 3,239 | $51,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 640 | $51,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 5,736 | $51,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,611 | $51,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 3,135 | $51,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 1,988 | $51,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 745 | $51,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 6,059 | $51,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 2,341 | $51,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 10,870 | $50,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 7,416 | $50,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 6,009 | $50,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 4,522 | $50,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 3,805 | $50,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,516 | $50,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 50,000 | $50,000 | thousands by filing date | principal |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,514 | $50,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 1,527 | $50,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 3,640 | $50,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 147 | $50,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 4,240 | $50,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,388 | $49,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,929 | $49,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,400 | $49,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 6,601 | $49,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 5,690 | $49,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 49,000 | $49,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 10,000 | $49,000 | thousands by filing date | put |
| DIGIRAD CORP | 253827109 | COM | 9,700 | $49,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 2,858 | $49,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 463 | $49,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 3,000 | $49,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 10,632 | $49,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 2,054 | $49,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 8,606 | $49,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 2,728 | $49,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 3,443 | $48,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,115 | $48,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 3,062 | $48,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 4,912 | $48,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 11,326 | $48,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 10,914 | $48,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,569 | $48,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 84,013 | $48,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 6,655 | $48,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 4,590 | $48,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 10,000 | $48,000 | thousands by filing date | call |
| PEAK RESORTS INC | 70469L100 | COM | 8,723 | $48,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 2,556 | $48,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 1,123 | $48,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 1,024 | $47,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 946 | $47,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 850 | $47,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 4,904 | $47,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 1,294 | $47,000 | thousands by filing date | |
| COLUMBIA INTERMEDIATE | 19761R703 | INTERMED MUN | 906 | $47,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 3,545 | $47,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 1,900 | $47,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 974 | $47,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 11,644 | $46,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 3,094 | $46,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 3,804 | $46,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 1,974 | $46,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 3,891 | $46,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 4,000 | $46,000 | thousands by filing date | call |
| NORBORD INC | 65548P403 | COM NEW | 1,817 | $46,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 2,326 | $46,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 6,780 | $46,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 53,000 | $46,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 3,218 | $46,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 6,600 | $46,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 2,156 | $46,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 3,484 | $46,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 389 | $46,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 5,335 | $46,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 2,622 | $46,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 8,830 | $46,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 3,000 | $45,000 | thousands by filing date | put |
| ATHENE HOLDING LTD | G0684D107 | CL A | 933 | $45,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 1,570 | $45,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 3,071 | $45,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 4,062 | $45,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 2,248 | $45,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 14,000 | $45,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 2,000 | $45,000 | thousands by filing date | put |
| NEW GERMANY FD INC | 644465106 | COM | 3,431 | $45,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 1,950 | $45,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 7,557 | $45,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 8,847 | $45,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 2,136 | $45,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 3,467 | $45,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 18,658 | $45,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 3,725 | $45,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 3,534 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 656 | $45,000 | thousands by filing date | |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 2,687 | $45,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 1,653 | $44,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 11,645 | $44,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 5,136 | $44,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,308 | $44,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 2,199 | $44,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,316 | $44,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 1,049 | $44,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 1,175 | $44,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 4,755 | $44,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,525 | $44,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 9,584 | $44,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 10,655 | $44,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 12,530 | $44,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 4,531 | $44,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 33,492 | $44,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,780 | $43,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 4,127 | $43,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 1,606 | $43,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 2,000 | $43,000 | thousands by filing date | put |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 3,200 | $43,000 | thousands by filing date | call |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 1,367 | $43,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 1,694 | $43,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,770 | $43,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 2,043 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 927 | $43,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 4,641 | $43,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 8,810 | $43,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 3,504 | $43,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 1,579 | $43,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 31,584 | $43,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 2,342 | $43,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 2,200 | $43,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 2,654 | $43,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 4,089 | $43,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 3,260 | $43,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 1,225 | $43,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 698 | $43,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 4,318 | $43,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P104 | SHS | 4,300 | $43,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 1,230 | $42,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 6,699 | $42,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 578 | $42,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 1,055 | $42,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 2,792 | $42,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 1,021 | $42,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 1,281 | $42,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 3,748 | $42,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 2,772 | $42,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 3,552 | $42,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 37,281 | $42,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 16,622 | $42,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 11,048 | $42,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 60,000 | $42,000 | thousands by filing date | principal |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 1,306 | $42,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 1,855 | $42,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 1,438 | $42,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 4,859 | $41,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 3,481 | $41,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,053 | $41,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 2,400 | $41,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,577 | $41,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 69,000 | $41,000 | thousands by filing date | principal |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 1,602 | $41,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 108,871 | $41,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 50,000 | $41,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,622 | $41,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 5,804 | $41,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 2,763 | $41,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 5,810 | $41,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 1,883 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 2,325 | $41,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 28,170 | $41,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 1,845 | $41,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 848 | $41,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 2,749 | $40,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 4,248 | $40,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,212 | $40,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 1,465 | $40,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 5,016 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 1,724 | $40,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-002293 | this filing | 2017-02-14 | acceptance time not in the bulk data set |