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 |
|---|---|---|---|---|---|---|
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 790 | $21,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 11,239 | $21,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 4,400 | $21,000 | thousands by filing date | put |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 5,180 | $21,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 1,252 | $21,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 974 | $21,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 12,002 | $21,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 1,170 | $21,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P320 | IPTH LIVESTK | 544 | $21,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 300 | $20,000 | thousands by filing date | call |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 1,000 | $20,000 | thousands by filing date | call |
| ARQ INC | 00770C101 | COM | 2,113 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 1,300 | $20,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 1,856 | $20,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 5,846 | $20,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,530 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 730 | $20,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 700 | $20,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 473 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,568 | $20,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 400 | $20,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,001 | $20,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,752 | $20,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 4,820 | $20,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 3,076 | $20,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 2,879 | $20,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 787 | $20,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,469 | $20,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 1,575 | $20,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 6,301 | $20,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 12,751 | $20,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 20,000 | $20,000 | thousands by filing date | principal |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 1,156 | $20,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 1,500 | $20,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 19,623 | $20,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 5,751 | $20,000 | thousands by filing date | |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 2,839 | $20,000 | thousands by filing date | |
| ELKHORN ETF TR | 287711204 | FTSE RAFI EQTY | 704 | $20,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 830 | $19,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 838 | $19,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 1,000 | $19,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 1,724 | $19,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 1,360 | $19,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 3,470 | $19,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 3,000 | $19,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 299 | $19,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 2,210 | $19,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 7,164 | $19,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 876 | $19,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 1,264 | $19,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 17,301 | $19,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 800 | $19,000 | thousands by filing date | call |
| ETFMG | 26924G508 | EXCHANGE TRADED | 779 | $19,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 626 | $19,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 3,142 | $19,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 600 | $19,000 | thousands by filing date | put |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 423 | $19,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 10,000 | $19,000 | thousands by filing date | principal |
| SYSTEMAX INC | 871851101 | COM | 2,212 | $19,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 2,385 | $19,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 6,845 | $19,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 2,091 | $19,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 1,489 | $19,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 1,398 | $19,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 3,174 | $19,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 5,880 | $19,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 2,798 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 751 | $19,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 522 | $19,000 | thousands by filing date | |
| USCF ETF TR | 90290T106 | STK SPLT IDX FD | 1,197 | $19,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505848 | REX VOL LG VIX | 2,290 | $19,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 200 | $18,000 | thousands by filing date | put |
| INVESCO LTD SHS | G491BT108 | Stock | 600 | $18,000 | thousands by filing date | put |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 400 | $18,000 | thousands by filing date | put |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 1,510 | $18,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 3,302 | $18,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,532 | $18,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 3,765 | $18,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,663 | $18,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,534 | $18,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 1,972 | $18,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 1,139 | $18,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 500 | $18,000 | thousands by filing date | put |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,279 | $18,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 5,660 | $18,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 1,577 | $18,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 6,178 | $18,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 1,161 | $18,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 764 | $18,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 2,082 | $18,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 582 | $18,000 | thousands by filing date | |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 754 | $18,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 361 | $18,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 2,179 | $18,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 6,407 | $18,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 1,539 | $18,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 2,266 | $18,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 11,479 | $18,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 3,849 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P866 | FUND | 434 | $18,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 1,009 | $18,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 3,212 | $18,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 100,064 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 1,956 | $18,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,615 | $18,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 3,880 | $18,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 600 | $18,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 4,395 | $18,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 17,500 | $18,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 700 | $17,000 | thousands by filing date | call |
| CROWN CASTLE INC COM | 22822V101 | REIT | 200 | $17,000 | thousands by filing date | put |
| GEOPARK LTD USD SHS | G38327105 | Stock | 4,000 | $17,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 459 | $17,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 602 | $17,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 1,254 | $17,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 760 | $17,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 664 | $17,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 7,417 | $17,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 37,162 | $17,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 10,162 | $17,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 6,559 | $17,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 17,407 | $17,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 489 | $17,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 362 | $17,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 2,259 | $17,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 1,261 | $17,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 4,063 | $17,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 3,018 | $17,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 1,868 | $17,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 5,017 | $17,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 871 | $17,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 2,182 | $17,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 1,856 | $17,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 2,783 | $17,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 1,000 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 741 | $17,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 2,508 | $17,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 698 | $16,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 500 | $16,000 | thousands by filing date | call |
| NEW GOLD INC CDA | 644535106 | COM | 4,500 | $16,000 | thousands by filing date | put |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 2,128 | $16,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 156 | $16,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 4,117 | $16,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 500 | $16,000 | thousands by filing date | |
| HARVEST NAT RES | 41754v202 | COM | 2,571 | $16,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 600 | $16,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,567 | $16,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 1,172 | $16,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 560 | $16,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 9,130 | $16,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 27,000 | $16,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740P114 | FUND | 596 | $16,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 21,593 | $16,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 2,462 | $16,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 425 | $16,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 2,750 | $16,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 7,782 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 714 | $16,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 4,642 | $16,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,082 | $16,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,400 | $16,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 5,487 | $16,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 3,046 | $16,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 18,612 | $16,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 5,041 | $16,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 531 | $16,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 4,440 | $16,000 | thousands by filing date | |
| Emergent Capital | 29102N105 | Com | 13,235 | $16,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 610 | $16,000 | thousands by filing date | |
| M I ACQUISITIONS INC | 55304A104 | COM | 1,626 | $16,000 | thousands by filing date | |
| AVISTA HEALTHCARE PUB ACQ CO | G0726L109 | UNIT 99/99/9999 | 1,600 | $16,000 | thousands by filing date | |
| Nashville Area ETF | 53957P106 | NASHVILLE AREA E | 586 | $16,000 | thousands by filing date | |
| HENNESSY CAPITAL ACQUISITION | 42588J209 | UNIT 99/99/9999 | 1,554 | $16,000 | thousands by filing date | |
| SKYPEOPLE FRUIT JUICE INC | 83086T307 | COM | 2,348 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 605 | $15,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,351 | $15,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,032 | $15,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 25,000 | $15,000 | thousands by filing date | principal |
| TRAVELZOO | 89421Q205 | CMN | 1,556 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 705 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 364 | $15,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 715 | $15,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 906 | $15,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 150 | $15,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 1,371 | $15,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 100 | $15,000 | thousands by filing date | call |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 118,116 | $15,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 200 | $15,000 | thousands by filing date | put |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 10,026 | $15,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,125 | $15,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 23,747 | $15,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 2,975 | $15,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 6,230 | $15,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 668 | $15,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,000 | $15,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,050 | $15,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 555 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347X518 | ULT MSCIMEX CAPP | 840 | $15,000 | thousands by filing date | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 2,332 | $15,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 1,802 | $15,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 3,566 | $15,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 9,061 | $15,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 4,186 | $15,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 2,976 | $15,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 1,052 | $15,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 3,571 | $15,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 24,563 | $15,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 437 | $15,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 2,100 | $15,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 1,255 | $15,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 645 | $15,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 932 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 549 | $15,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 289 | $15,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760137 | SHS NEW | 12,932 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X210 | MSCI CHINA ETF | 730 | $15,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 427 | $15,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 1,655 | $14,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 967 | $14,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 957 | $14,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,611 | $14,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 2,712 | $14,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 1,982 | $14,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 100 | $14,000 | thousands by filing date | put |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 1,794 | $14,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 3,285 | $14,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 877 | $14,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 143 | $14,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,760 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 574 | $14,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,328 | $14,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 5,364 | $14,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 795 | $14,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 1,252 | $14,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 28,567 | $14,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 1,560 | $14,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 493 | $14,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 9,034 | $14,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $14,000 | thousands by filing date | principal |
| IPASS INC | 46261V108 | COM | 8,403 | $14,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 15,038 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 1,000 | $14,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 2,132 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L527 | 30 YR TREAS BULL | 191 | $14,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 2,333 | $14,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 2,647 | $14,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 10,784 | $14,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 1,760 | $14,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 1,726 | $14,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 2,500 | $14,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 120 | $14,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784101 | SPONSORED ADR | 2,309 | $14,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 382 | $14,000 | thousands by filing date | |
| FRONTEO INC | 35905J100 | SPONSORED ADR | 983 | $14,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 7,371 | $14,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L208 | EMRG MKT DIV ETF | 532 | $14,000 | thousands by filing date | |
| ROYAL BANK OF CANADA EXCHANGE TRADED NOTES DUE JULY 19, 2034 LINKED TO THE | 78011D104 | ETF | 1,275 | $14,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A110 | *W EXP 10/11/202 | 1,680 | $14,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,151 | $13,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 1,136 | $13,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 368 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 250 | $13,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 2,040 | $13,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,540 | $13,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 3,156 | $13,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 1,028 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 494 | $13,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 6,000 | $13,000 | thousands by filing date | principal |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 1,882 | $13,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 7,577 | $13,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 4,104 | $13,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 4,282 | $13,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 476 | $13,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 615 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 922 | $13,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 8,969 | $13,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 1,054 | $13,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 20,264 | $13,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 3,401 | $13,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 40,006 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 1,044 | $13,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 664 | $13,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 187 | $13,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 3,316 | $13,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 13,183 | $13,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 800 | $13,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 3,847 | $13,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 1,002 | $13,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 14,525 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 1,215 | $13,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 963 | $13,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 16,770 | $13,000 | thousands by filing date | |
| LONG IS ICED TEA CORP | 54267E104 | COM | 3,001 | $13,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 3,247 | $13,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 2,000 | $13,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 3,876 | $13,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 1,683 | $13,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W107 | COM | 1,300 | $13,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X204 | COM NEW | 1,718 | $13,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M864 | LBT VEN COM B NE | 358 | $13,000 | thousands by filing date | |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 129 | $13,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 200 | $12,000 | thousands by filing date | put |
| CLOROX CO DEL | 189054109 | COM | 100 | $12,000 | thousands by filing date | call |
| INSULET CORP COM | 45784P101 | Stock | 302 | $12,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,750 | $12,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 459 | $12,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 2,407 | $12,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 8,651 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 236 | $12,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 576 | $12,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 1,750 | $12,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 465 | $12,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 1,289 | $12,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 2,000 | $12,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 3,485 | $12,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,973 | $12,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,157 | $12,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 66 | $12,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 6,509 | $12,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,477 | $12,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 7,069 | $12,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,111 | $12,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,217 | $12,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 1,965 | $12,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,965 | $12,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,600 | $12,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 2,179 | $12,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 4,000 | $12,000 | thousands by filing date | principal |
| Taser Intl Inc | 87651B104 | COM | 500 | $12,000 | thousands by filing date | put |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 2,361 | $12,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 537 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 521 | $12,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 3,439 | $12,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 34,433 | $12,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 187 | $12,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 5,000 | $12,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 7,005 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 202 | $12,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 571 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 318 | $12,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 3,577 | $12,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 692 | $12,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 16,341 | $12,000 | thousands by filing date | |
| INSPIREMD INC | 45779A804 | COM PAR | 4,965 | $12,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 3,946 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 119 | $12,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 4,317 | $12,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104209 | Common Stock | 14,666 | $12,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 1,668 | $12,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 965 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G540 | MLTFACT TECH | 389 | $12,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 450 | $12,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y156 | SHS NEW 2016 | 5,254 | $12,000 | thousands by filing date | |
| Boulevard Acquisition Corp II | 10157Q201 | CL A | 1,200 | $12,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 2,829 | $12,000 | thousands by filing date | |
| Eaton Corp PLC | G2920Y101 | COM | 1,200 | $12,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 3,670 | $11,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 580 | $11,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,325 | $11,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 1,492 | $11,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,786 | $11,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,692 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 282 | $11,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 4,689 | $11,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 2,598 | $11,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 1,196 | $11,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 438 | $11,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 1,422 | $11,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 4,217 | $11,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,000 | $11,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 11,419 | $11,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 2,296 | $11,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 6,693 | $11,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 677 | $11,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 6,000 | $11,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 197 | $11,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,540 | $11,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 108 | $11,000 | thousands by filing date | |
| Jacksonville Bancorp, Inc. (IL) | 46924R106 | Common Stock | 358 | $11,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 9,077 | $11,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 1,688 | $11,000 | thousands by filing date | |
| ASSOCIATED BANC CORP | 045487113 | WTS | 1,872 | $11,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 4,554 | $11,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS-ADR | 98386D208 | COM | 16,940 | $11,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 15,661 | $11,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 4,439 | $11,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 1,743 | $11,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 10,288 | $11,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 1,497 | $11,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 2,098 | $11,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 750 | $11,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 609 | $11,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 740 | $11,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 16,319 | $11,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 4,500 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 427 | $11,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D424 | 2XLEVE ETRACS WF | 570 | $11,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 795 | $11,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 2,000 | $11,000 | thousands by filing date | principal |
| DEUTSCHE X-TRACKERS DOW JONES HEDGED INTERNATIONAL REAL ESTATE ETF | 233051689 | ETF | 491 | $11,000 | thousands by filing date | |
| POLARITYTE INC COM | 560690406 | Stock | 3,343 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E109 | DAILY SLR BULL | 1,065 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 500 | $11,000 | thousands by filing date | |
| ATLANTIC ALLIANCE PARTNER CO | G04897107 | SHS | 1,230 | $11,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T501 | COM PAR | 4,260 | $11,000 | thousands by filing date | |
| CONYERS PK ACQUISITION | 212894109 | CL A COM | 1,100 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K182 | DLY EUR FIN 1X | 505 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K497 | DLY CYB SEC BEAR | 411 | $11,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 100 | $10,000 | thousands by filing date | call |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 1,767 | $10,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 6,476 | $10,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 2,700 | $10,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 1,895 | $10,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 399 | $10,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 34,301 | $10,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 204 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 459 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 505 | $10,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 89 | $10,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 400 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 359 | $10,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 2,068 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 664 | $10,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 440 | $10,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,000 | $10,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 540 | $10,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 223 | $10,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 843 | $10,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 2,674 | $10,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 4,263 | $10,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 2,221 | $10,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 1,345 | $10,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 1,269 | $10,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 3,218 | $10,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 430 | $10,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 213 | $10,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 403 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 520 | $10,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 5,355 | $10,000 | thousands by filing date | |
| REMARK MEDIA INC | 75954W107 | COM | 2,513 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 768 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 688 | $10,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,763 | $10,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K833 | MTL SHRT ETN38 | 437 | $10,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 350 | $10,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 2,322 | $10,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 5,315 | $10,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 2,617 | $10,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 11,348 | $10,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 1,901 | $10,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 4,513 | $10,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 2,364 | $10,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 1,922 | $10,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 1,000 | $10,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 9,366 | $10,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q494 | BUZZ US SMT LDR | 382 | $10,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 4,926 | $10,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 785 | $10,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 1,369 | $10,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 5,996 | $10,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 2,750 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A335 | COM | 791 | $10,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,691 | $9,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 557 | $9,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 3,403 | $9,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 270 | $9,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 473 | $9,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 140 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 554 | $9,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 445 | $9,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 1,691 | $9,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 3,965 | $9,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,787 | $9,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 551 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 447 | $9,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 386 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,834 | $9,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 4,828 | $9,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,000 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 402 | $9,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 508 | $9,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 1,276 | $9,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 3,637 | $9,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 8,943 | $9,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,872 | $9,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 1,000 | $9,000 | thousands by filing date | put |
| VBI VACCINES INC | 91822J103 | COM NEW | 2,807 | $9,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 7,800 | $9,000 | thousands by filing date | call |
| EMAGIN CORP | 29076N206 | COM | 4,191 | $9,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 6,426 | $9,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 9,873 | $9,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 1,907 | $9,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 3,894 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 700 | $9,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 10,793 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 325 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 363 | $9,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 1,498 | $9,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 13,094 | $9,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 1,473 | $9,000 | 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 |