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 |
|---|---|---|---|---|---|---|
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 730 | $40,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 3,085 | $40,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 27,000 | $40,000 | thousands by filing date | principal |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 11,996 | $40,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 7,408 | $40,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 800 | $40,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 6,195 | $40,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P163 | IPTH SUGAR ETN | 1,295 | $40,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,753 | $40,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 3,089 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 1,132 | $40,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 1,643 | $40,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 2,738 | $40,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 22,844 | $40,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 3,750 | $40,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 663 | $40,000 | thousands by filing date | |
| FQF TR | 351680830 | O SHARES EUROP | 1,633 | $40,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 5,260 | $39,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 3,274 | $39,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 2,750 | $39,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,739 | $39,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,109 | $39,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 2,816 | $39,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 11,971 | $39,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 7,706 | $39,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 14,834 | $39,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 1,000 | $39,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 49,142 | $39,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 7,855 | $39,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 25,299 | $39,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 1,172 | $39,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 2,431 | $39,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 4,339 | $39,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 6,414 | $39,000 | thousands by filing date | |
| PARKWAY INC COM | 70156Q107 | Stock | 1,773 | $39,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 4,400 | $38,000 | thousands by filing date | call |
| SPOK HLDGS INC COM | 84863T106 | Stock | 1,833 | $38,000 | thousands by filing date | |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 1,100 | $38,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 1,167 | $38,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,114 | $38,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 15,000 | $38,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 3,018 | $38,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 853 | $38,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 3,025 | $38,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 786 | $38,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 5,338 | $38,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 3,340 | $38,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 1,753 | $38,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 1,750 | $38,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 2,585 | $38,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 2,598 | $38,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 11,616 | $38,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 5,613 | $38,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 4,620 | $38,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 300 | $37,000 | thousands by filing date | put |
| APPFOLIO INC | 03783C100 | COM CL A | 1,558 | $37,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 553 | $37,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 4,020 | $37,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 2,478 | $37,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 2,086 | $37,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 742 | $37,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 2,240 | $37,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 933 | $37,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 2,769 | $37,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 10,288 | $37,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,186 | $37,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 5,874 | $37,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,826 | $37,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 3,491 | $37,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,554 | $37,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 714 | $37,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 14,338 | $37,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H467 | PS CMDTY SH ETN | 841 | $37,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P171 | IPTH ALUMN ETN | 1,564 | $37,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 5,000 | $37,000 | thousands by filing date | put |
| COUNTY BANCORP INC | 221907108 | COM | 1,357 | $37,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 7,515 | $37,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 600 | $36,000 | thousands by filing date | put |
| OIL DRI CORP AMER COM | 677864100 | Stock | 944 | $36,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 6,744 | $36,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 1,123 | $36,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 9,032 | $36,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 1,729 | $36,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,000 | $36,000 | thousands by filing date | put |
| RADIANT LOGISTICS INC | 75025X100 | COM | 9,088 | $36,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 1,682 | $36,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,161 | $36,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,771 | $36,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 1,375 | $36,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 2,278 | $36,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 13,542 | $36,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 15,863 | $36,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 6,667 | $36,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,483 | $36,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 5,065 | $36,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 650 | $36,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 564 | $36,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 2,181 | $36,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 4,222 | $36,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 2,391 | $36,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY FTSE | 25490k836 | COM | 2,100 | $36,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 2,818 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347B730 | ULSHRT TECH NEW | 1,100 | $36,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 4,780 | $36,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A867 | MASTER INC ETF | 2,034 | $36,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 400 | $35,000 | thousands by filing date | put |
| UNIQURE NV | N90064101 | SHS | 6,299 | $35,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 1,000 | $35,000 | thousands by filing date | put |
| ALBANY INTL CORP | 012348108 | CL A | 757 | $35,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 820 | $35,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 3,672 | $35,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 1,000 | $35,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 4,241 | $35,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 1,912 | $35,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,201 | $35,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 3,982 | $35,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 2,936 | $35,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 2,887 | $35,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 1,469 | $35,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,558 | $35,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 7,826 | $35,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 4,697 | $35,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 278 | $35,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 3,315 | $35,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 5,797 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 2,516 | $35,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 819 | $35,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,330 | $35,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 1,270 | $35,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 86,841 | $35,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,365 | $34,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 3,900 | $34,000 | thousands by filing date | call |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 1,129 | $34,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 939 | $34,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 5,726 | $34,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 1,404 | $34,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 4,865 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 1,334 | $34,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 3,290 | $34,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 4,294 | $34,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 2,770 | $34,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 4,100 | $34,000 | thousands by filing date | put |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 200 | $34,000 | thousands by filing date | call |
| PIXELWORKS INC | 72581M305 | COM NEW | 11,948 | $34,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 2,419 | $34,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 5,022 | $34,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 1,141 | $34,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 14,555 | $34,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 6,599 | $34,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 3,438 | $34,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 4,786 | $34,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,017 | $34,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 1,022 | $34,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL ROTN | 00400R866 | CEF | 1,459 | $34,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 2,068 | $34,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 926 | $33,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 4,300 | $33,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 654 | $33,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 1,915 | $33,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 2,096 | $33,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 2,406 | $33,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,325 | $33,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 4,698 | $33,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 1,101 | $33,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 2,107 | $33,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 4,493 | $33,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 7,738 | $33,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,562 | $33,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 10,778 | $33,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 2,118 | $33,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 2,850 | $33,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 12,160 | $33,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 2,620 | $33,000 | thousands by filing date | |
| IPATH INVERSE S&P 500 VIX II | 06741K486 | ETP | 860 | $33,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P338 | FUND | 1,079 | $33,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 1,036 | $33,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 2,026 | $33,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 361 | $33,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,734 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y124 | DAILY RGNAL BEAR | 3,303 | $33,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,443 | $32,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 1,502 | $32,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D390 | ETRA BL CO MAT 5 | 2,300 | $32,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 2,543 | $32,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,581 | $32,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 22,891 | $32,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 8,391 | $32,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 2,253 | $32,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 9,761 | $32,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 7,426 | $32,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 5,917 | $32,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,278 | $32,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 1,114 | $32,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 18,206 | $32,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 1,222 | $32,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 3,040 | $32,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 2,074 | $32,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 2,359 | $32,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 2,102 | $32,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 5,826 | $32,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 1,422 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 1,336 | $32,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 450 | $32,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 35,784 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 643 | $31,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 1,150 | $31,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 2,050 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 333 | $31,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,038 | $31,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 5,000 | $31,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 926 | $31,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 22,011 | $31,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 4,510 | $31,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,794 | $31,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 3,090 | $31,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 21,950 | $31,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 500 | $31,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 4,387 | $31,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 7,501 | $31,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 2,612 | $31,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 500 | $31,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 8,387 | $31,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 5,840 | $31,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 6,066 | $31,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 7,677 | $31,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 2,190 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K265 | DLY ENR BEAR1X | 1,604 | $31,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P506 | COM PAR NEW | 6,287 | $31,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 4,557 | $30,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 5,500 | $30,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,939 | $30,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,583 | $30,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 5,921 | $30,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 762 | $30,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 13,660 | $30,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 2,600 | $30,000 | thousands by filing date | put |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 4,024 | $30,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 13,473 | $30,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 2,500 | $30,000 | thousands by filing date | put |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 1,218 | $30,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 2,266 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD CBOE | 33733E609 | S\&P.* | 1,275 | $30,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 3,838 | $30,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 1,461 | $30,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 4,472 | $30,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,688 | $30,000 | thousands by filing date | |
| BARCLAYS BK PLC IPTH NAT GAS | 06740P239 | COM | 1,452 | $30,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 3,064 | $30,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 12,461 | $30,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 15,110 | $30,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 1,146 | $30,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 6,144 | $30,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 2,455 | $30,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 3,825 | $30,000 | thousands by filing date | |
| JM GLOBAL HLDG CO | 46590H200 | UNIT 99/99/9999 | 3,018 | $30,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 3,500 | $29,000 | thousands by filing date | put |
| AARONS INC | 002535300 | COM PAR $0.50 | 900 | $29,000 | thousands by filing date | put |
| RADWARE LTD | M81873107 | COMMON STOCK | 1,965 | $29,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,848 | $29,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 10,284 | $29,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 2,692 | $29,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,200 | $29,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 1,684 | $29,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,139 | $29,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 701 | $29,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 5,473 | $29,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 7,549 | $29,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 7,333 | $29,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 14,756 | $29,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 1,306 | $29,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 1,138 | $29,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H483 | PS CMDT DS ETN | 755 | $29,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 2,142 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 3,751 | $29,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 3,897 | $29,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 3,311 | $29,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 2,700 | $29,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 1,027 | $29,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 1,224 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 650 | $29,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 2,720 | $29,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 10,768 | $29,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 2,395 | $29,000 | thousands by filing date | |
| FQF TR | 351680814 | O SHS ASIA PAC | 1,123 | $29,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 1,178 | $28,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 920 | $28,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 1,381 | $28,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 3,313 | $28,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 1,456 | $28,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 900 | $28,000 | thousands by filing date | call |
| PREFORMED LINE PRODS CO | 740444104 | COM | 479 | $28,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,500 | $28,000 | thousands by filing date | put |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 628 | $28,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 2,759 | $28,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 1,336 | $28,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 2,144 | $28,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 5,694 | $28,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 21,196 | $28,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 1,752 | $28,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 1,509 | $28,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 8,933 | $28,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 2,316 | $28,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,234 | $28,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D878 | EXCH NT LKD 20 | 1,039 | $28,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 705 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X179 | ULT MSCIMEX CAPP | 994 | $28,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 11,257 | $28,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 1,482 | $27,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 1,429 | $27,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 927 | $27,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 361 | $27,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 1,500 | $27,000 | thousands by filing date | put |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,569 | $27,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,720 | $27,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,781 | $27,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 2,377 | $27,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 1,261 | $27,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 1,302 | $27,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 1,046 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 226 | $27,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 10,093 | $27,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 3,333 | $27,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 7,683 | $27,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 16,518 | $27,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 2,168 | $27,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 4,646 | $27,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 1,500 | $27,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 1,275 | $27,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 6,431 | $27,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 2,800 | $27,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 848 | $27,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T621 | EXCHTRADE MIDTER | 3,115 | $27,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 8,489 | $26,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 1,838 | $26,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 1,407 | $26,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 1,447 | $26,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 1,434 | $26,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 799 | $26,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 2,364 | $26,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 2,049 | $26,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,045 | $26,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 4,473 | $26,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 9,894 | $26,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 2,564 | $26,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 1,987 | $26,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 1,536 | $26,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 3,909 | $26,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 2,360 | $26,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,665 | $26,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,337 | $26,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 2,315 | $26,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 1,203 | $26,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,720 | $26,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 26,477 | $26,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,848 | $26,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 1,715 | $26,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 9,346 | $26,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 6,056 | $26,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 809 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K216 | DAILY S&P BEAR | 1,400 | $26,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,800 | $26,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,668 | $26,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 11,961 | $26,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| WCF BANCORP INC | 92940L103 | COM | 2,555 | $26,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A875 | DMND HILL VAL | 1,000 | $26,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 41,261 | $26,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505863 | REX GOLD SP500 | 1,017 | $26,000 | thousands by filing date | |
| HENNESSY CAP ACQUISITION COR | 42588J100 | COM | 2,596 | $26,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 4,832 | $25,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 925 | $25,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 2,329 | $25,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 464 | $25,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,411 | $25,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 691 | $25,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 272 | $25,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 3,423 | $25,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 16,884 | $25,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 2,102 | $25,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,418 | $25,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 7,600 | $25,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 5,154 | $25,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 21,438 | $25,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 7,124 | $25,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 9,564 | $25,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 5,917 | $25,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 1,072 | $25,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 2,126 | $25,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 1,181 | $25,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 1,975 | $25,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 6,532 | $25,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 429 | $25,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC COM NEW | 23305L107 | Stock | 25,607 | $25,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 500 | $24,000 | thousands by filing date | put |
| CODEXIS INC | 192005106 | COM | 5,191 | $24,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 2,863 | $24,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 1,084 | $24,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 9,776 | $24,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 317 | $24,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 3,047 | $24,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 4,965 | $24,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,929 | $24,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 5,850 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 486 | $24,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,125 | $24,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 2,928 | $24,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 5,588 | $24,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 2,183 | $24,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,486 | $24,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,220 | $24,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 1,832 | $24,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 509 | $24,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 1,141 | $24,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A834 | ALPHAMARK SM | 1,085 | $24,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,374 | $24,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 25,000 | $24,000 | thousands by filing date | principal |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 688 | $24,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U101 | COM | 2,400 | $24,000 | thousands by filing date | |
| ELEVATION ETF TR | 28622M209 | DHANDHO JUNOON | 893 | $24,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 1,109 | $23,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 14,680 | $23,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 812 | $23,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,134 | $23,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 1,142 | $23,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,412 | $23,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 2,007 | $23,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 20,000 | $23,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 4,403 | $23,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,254 | $23,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 710 | $23,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 1,045 | $23,000 | thousands by filing date | |
| COMCAST HOLDINGS CORP | 200300507 | ZONES CV2% PCS | 500 | $23,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 17,000 | $23,000 | thousands by filing date | principal |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 1,543 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 5,356 | $23,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 2,076 | $23,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 995 | $23,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,142 | $23,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 1,416 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A582 | ULTRAPRO FINLS | 183 | $23,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 781 | $23,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 936 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 1,238 | $23,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 17,444 | $23,000 | thousands by filing date | |
| BEBE STORES INC COM NEW | 075571208 | Common Stock | 4,600 | $23,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 4,625 | $23,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 25,000 | $23,000 | thousands by filing date | principal |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 17,141 | $23,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 463 | $23,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K513 | DLY CYB SEC BULL | 654 | $23,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 500 | $22,000 | thousands by filing date | call |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 500 | $22,000 | thousands by filing date | call |
| INTERPARFUMS INC COM | 458334109 | Stock | 696 | $22,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 537 | $22,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 2,453 | $22,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,606 | $22,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 869 | $22,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 800 | $22,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 2,356 | $22,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 1,052 | $22,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 16,091 | $22,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 92,060 | $22,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 4,030 | $22,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 51,409 | $22,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 858 | $22,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,397 | $22,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,355 | $22,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 828 | $22,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 1,000 | $22,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 9,945 | $22,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,811 | $22,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 924 | $22,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 2,353 | $22,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 2,050 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 526 | $22,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 3,934 | $22,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 4,060 | $22,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 1,490 | $22,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 18,538 | $22,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 8,008 | $22,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 9,211 | $22,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 1,345 | $21,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,625 | $21,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 1,152 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 426 | $21,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 3,900 | $21,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 12,000 | $21,000 | thousands by filing date | principal |
| CZR | 127686103 | Stock | 2,530 | $21,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 6,546 | $21,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 5,224 | $21,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,097 | $21,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,000 | $21,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,496 | $21,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 23,140 | $21,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 15,100 | $21,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 54,962 | $21,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 21,144 | $21,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 1,405 | $21,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 7,013 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 1,099 | $21,000 | 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 |