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 |
|---|---|---|---|---|---|---|
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 112 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G878 | IPATH GEMS ASIA8 | 235 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 895 | $9,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 1,006 | $9,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 1,712 | $9,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 2,685 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X476 | SHT KBW REGBNK | 525 | $9,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 7,567 | $9,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 76,853 | $9,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 3,279 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 173 | $9,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 3,155 | $9,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 1,681 | $9,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 934 | $9,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 472 | $9,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 4,090 | $9,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 2,672 | $9,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 9,000 | $9,000 | thousands by filing date | principal |
| ONCOBIOLOGICS INC | 68235M105 | COM | 2,943 | $9,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 3,402 | $9,000 | thousands by filing date | |
| DATARAM NV ORD | 238108401 | COM | 4,067 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W372 | KOREA HEDG EQT | 400 | $9,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 100 | $8,000 | thousands by filing date | call |
| KLA CORP | 482480100 | COM | 100 | $8,000 | thousands by filing date | put |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 1,040 | $8,000 | thousands by filing date | put |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 160 | $8,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 200 | $8,000 | thousands by filing date | call |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 587 | $8,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 239 | $8,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,359 | $8,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 3,690 | $8,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 297 | $8,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 746 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 158 | $8,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,618 | $8,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 3,799 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 159 | $8,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,496 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 290 | $8,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 372 | $8,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 1,000 | $8,000 | thousands by filing date | call |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 3,577 | $8,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 1,000 | $8,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 6,024 | $8,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 200 | $8,000 | thousands by filing date | put |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 3,000 | $8,000 | thousands by filing date | principal |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 2,980 | $8,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,301,798 | $8,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 6,000 | $8,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 594 | $8,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 29,298 | $8,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 72 | $8,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 5,655 | $8,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 5,561 | $8,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 4,133 | $8,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $8,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D654 | 3X INVERS SILV | 253 | $8,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 1,114 | $8,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 3,390 | $8,000 | thousands by filing date | |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 25,556 | $8,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,000 | $8,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 4,773 | $8,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265308 | SHS NEW | 1,894 | $8,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 500 | $8,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 2,909 | $8,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 4,800 | $8,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 1,061 | $8,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L307 | US DIV COR ETF | 300 | $8,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789126 | SHS | 800 | $8,000 | thousands by filing date | |
| WECAST NETWORK INC | 94850Q106 | COM | 6,413 | $8,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N302 | CL A NEW | 32,991 | $8,000 | thousands by filing date | |
| WOWO LTD | 98212L101 | SPONSORED ADR | 2,258 | $8,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 100 | $7,000 | thousands by filing date | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 4,383 | $7,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 200 | $7,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 151 | $7,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 121 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 296 | $7,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 600 | $7,000 | thousands by filing date | call |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 1,280 | $7,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 2,000 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 155 | $7,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,221 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 118 | $7,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,850 | $7,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 6,069 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 450 | $7,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 283 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 292 | $7,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 2,859 | $7,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 6,174 | $7,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 1,277 | $7,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 999 | $7,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 100 | $7,000 | thousands by filing date | put |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 1,128 | $7,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 796 | $7,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 812 | $7,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 3,700 | $7,000 | thousands by filing date | call |
| IMATION CORP | 45245A107 | COM | 8,588 | $7,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 12,887 | $7,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 9,845 | $7,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 4,071 | $7,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 12,688 | $7,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 3,156 | $7,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,518 | $7,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 719 | $7,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 1,449 | $7,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,110 | $7,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 4,760 | $7,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 226 | $7,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 520 | $7,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 3,854 | $7,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 930 | $7,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 143 | $7,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 270 | $7,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 1,539 | $7,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 4,593 | $7,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 10,190 | $7,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 252 | $7,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 4,313 | $7,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 1,553 | $7,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 2,729 | $7,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 415 | $7,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 1,688 | $7,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 1,314 | $7,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 9,763 | $7,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 252 | $7,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 201 | $7,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 2,700 | $7,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 10,200 | $7,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 157 | $7,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 2,034 | $7,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L109 | DEV EX US ETF | 275 | $7,000 | thousands by filing date | |
| REALITY | 75605A603 | SHS ETF TR DIVCON DIV ETF | 350 | $7,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 700 | $7,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 2,424 | $7,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 2,865 | $7,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T606 | COM PAR | 2,642 | $7,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 1,134 | $7,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 1,100 | $7,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195108 | UNIT 99/99/9999 | 666 | $7,000 | thousands by filing date | |
| MODSYS INTL LTD | M70378100 | SHS | 8,142 | $7,000 | thousands by filing date | |
| COPSYNC INC | 217712207 | COM NEW | 8,870 | $7,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 225 | $6,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 6,009 | $6,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 200 | $6,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 223 | $6,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 200 | $6,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 113 | $6,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 500 | $6,000 | thousands by filing date | put |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 200 | $6,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 808 | $6,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 254 | $6,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 1,286 | $6,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 721 | $6,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 250 | $6,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 224 | $6,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 637 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 555 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 120 | $6,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,055 | $6,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 459 | $6,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 106 | $6,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 3,993 | $6,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 2,511 | $6,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 909 | $6,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 100 | $6,000 | thousands by filing date | put |
| JOY GLOBAL INC | 481165108 | COM | 200 | $6,000 | thousands by filing date | call |
| XCEL BRANDS INC | 98400M101 | COM NEW | 1,271 | $6,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 4,522 | $6,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 13,281 | $6,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 848 | $6,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 1,742 | $6,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 829 | $6,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 20,307 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 3,957 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,002 | $6,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 169 | $6,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 4,302 | $6,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 42,857 | $6,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 8,177 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 500 | $6,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 270 | $6,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 2,266 | $6,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,251 | $6,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,153 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 141 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 419 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P262 | IPTH AGRIC ETN | 200 | $6,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 1,939 | $6,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 2,915 | $6,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 883 | $6,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 8,597 | $6,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 2,794 | $6,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 2,966 | $6,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 1,146 | $6,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 2,425 | $6,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 2,821 | $6,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 214 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 261 | $6,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,195 | $6,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 1,842 | $6,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 6,000 | $6,000 | thousands by filing date | principal |
| SSGA ACTIVE ETF TR | 78467V806 | MFS SYS COR EQ | 100 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 168 | $6,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 457 | $6,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 3,681 | $6,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 4,765 | $6,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 6,000 | $6,000 | thousands by filing date | principal |
| MAJESCO | 56068V102 | COM | 907 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 298 | $6,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 9,000 | $6,000 | thousands by filing date | principal |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 241 | $6,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 5,000 | $6,000 | thousands by filing date | principal |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 1,310 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 355 | $6,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 1,050 | $6,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 3,139 | $6,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T290 | XLNKS AMLP ETN36 | 228 | $6,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 6,000 | $6,000 | thousands by filing date | principal |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 4,114 | $6,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 3,710 | $6,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 5,982 | $6,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C120 | UNIT 99/99/9999 | 575 | $6,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 6,314 | $6,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F395 | TREAS HEDGED HIG | 254 | $6,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 466 | $5,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 100 | $5,000 | thousands by filing date | put |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 244 | $5,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 100 | $5,000 | thousands by filing date | put |
| CERNER CORP | 156782104 | COM | 100 | $5,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 96 | $5,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 1,976 | $5,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 292 | $5,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 3,402 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 100 | $5,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 834 | $5,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 1,493 | $5,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 658 | $5,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 552 | $5,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 500 | $5,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 665 | $5,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 111 | $5,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 3,250 | $5,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 2,511 | $5,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 8,507 | $5,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 145 | $5,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 4,334 | $5,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 2,748 | $5,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 2,000 | $5,000 | thousands by filing date | principal |
| PHH CORP | 693320202 | COM NEW | 336 | $5,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 769 | $5,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 4,000 | $5,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 10,000 | $5,000 | thousands by filing date | principal |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 2,135 | $5,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 2,531 | $5,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 1,200 | $5,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 5,000 | $5,000 | thousands by filing date | principal |
| ID SYSTEMS INC | 449489103 | COM | 1,007 | $5,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 598 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 244 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A749 | USD COVERED BD | 48 | $5,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 17,101 | $5,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 11,224 | $5,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 934 | $5,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 130 | $5,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 1,197 | $5,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 943 | $5,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 2,241 | $5,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 10,229 | $5,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 4,739 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 156 | $5,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 2,684 | $5,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 7,400 | $5,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 2,027 | $5,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 200 | $5,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 698 | $5,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 4,243 | $5,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 2,782 | $5,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 200 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 321 | $5,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 875 | $5,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 633 | $5,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 2,122 | $5,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 93 | $5,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 1,681 | $5,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 913 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 75 | $5,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT | 74347W254 | CEF | 596 | $5,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 1,560 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78468R119 | S&P TECH H | 87 | $5,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 17,226 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B870 | CDS SH NA HYCR | 155 | $5,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 1,534 | $5,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 2,202 | $5,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 553 | $5,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 4,000 | $5,000 | thousands by filing date | principal |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 1,557 | $5,000 | thousands by filing date | |
| DEUTSCHE X-TRACKERS S&P HEDGED GLOBAL INFRASTRUCTURE ETF | 233051671 | ETF | 200 | $5,000 | thousands by filing date | |
| Medovex Corp | 58504H101 | COM | 3,486 | $5,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 2,255 | $5,000 | thousands by filing date | |
| WISDOMTREE U.S. EXPORT AND MULTINATIONAL FUND | 97717X453 | ETF | 200 | $5,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789118 | *W EXP 12/17/202 | 15,706 | $5,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789134 | RIGHT 03/12/2018 | 11,800 | $5,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605208 | COM CL B | 174 | $5,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 15,718 | $5,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G300 | PUREFUNDS ISE BI | 207 | $5,000 | thousands by filing date | |
| INVENTERGY GLOBAL INC | 46123X409 | COM NEW ADDED | 6,762 | $5,000 | thousands by filing date | |
| Capnia, Inc. | 14066L105 | Common | 5,588 | $5,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 10,352 | $5,000 | thousands by filing date | |
| ETFS TR | 26923J107 | ZACKS LG CP US | 200 | $5,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 100 | $4,000 | thousands by filing date | call |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 138 | $4,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 200 | $4,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 100 | $4,000 | thousands by filing date | call |
| SOUND FINL BANCORP INC | 83607A100 | COM | 130 | $4,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 187 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 110 | $4,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 326 | $4,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,428 | $4,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 915 | $4,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 2,099 | $4,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 200 | $4,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 3,939 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 107 | $4,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 3,498 | $4,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 290 | $4,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 539 | $4,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 500 | $4,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 257 | $4,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 3,091 | $4,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 3,458 | $4,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 16,872 | $4,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 4,000 | $4,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 1,040 | $4,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 95 | $4,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 959 | $4,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 2,415 | $4,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 109 | $4,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 29,725 | $4,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 9,125 | $4,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 3,728 | $4,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 7,300 | $4,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 21,602 | $4,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 2,290 | $4,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 299 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 150 | $4,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 5,626 | $4,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 200 | $4,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 2,432 | $4,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 2,536 | $4,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 8,697 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 111 | $4,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 2,208 | $4,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 3,333 | $4,000 | thousands by filing date | |
| FIRST TRUST MULTI STRGY ALTER ETF | 73935B870 | ALT MULTI STRG | 177 | $4,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 783 | $4,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 558 | $4,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 768 | $4,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 1,268 | $4,000 | thousands by filing date | |
| PHASERX INC | 71723F103 | COM | 2,813 | $4,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 4,000 | $4,000 | thousands by filing date | principal |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 89 | $4,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 2,035 | $4,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 3,562 | $4,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 3,064 | $4,000 | thousands by filing date | |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 1,628 | $4,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 2,294 | $4,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 300 | $4,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 205 | $4,000 | thousands by filing date | |
| SABAN CAP ACQUISITION CORP | 78516C114 | *W EXP 09/21/202 | 4,700 | $4,000 | thousands by filing date | |
| SPI ENERGY CO LTD NEW 2018 | 78470H109 | Common Stock | 1,891 | $4,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 1,624 | $4,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 285 | $4,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 281 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 500 | $4,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 2,488 | $4,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 4,000 | $4,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 234 | $4,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 200 | $4,000 | thousands by filing date | |
| EnerJex Resources Inc | 292758406 | COM | 14,932 | $4,000 | thousands by filing date | |
| DRYSHIPS INC COM PAR NEW | Y2109Q309 | Stock | 1,204 | $4,000 | thousands by filing date | |
| GLOBAL PARTNER ACQUISITION C | 37954X105 | COM | 400 | $4,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 2,000 | $4,000 | thousands by filing date | principal |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 4,066 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G608 | TUTTLE TAC MAN | 200 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X529 | INTL HDG SMLCP | 159 | $4,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C708 | GBL GRW RE | 79 | $4,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 122 | $3,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 100 | $3,000 | thousands by filing date | put |
| D R HORTON INC COM | 23331A109 | Stock | 100 | $3,000 | thousands by filing date | call |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 217 | $3,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 201 | $3,000 | thousands by filing date | |
| PACER FDS TR | 69374H709 | GLOBL CASH ETF | 125 | $3,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 367 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 130 | $3,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 91 | $3,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 100 | $3,000 | thousands by filing date | call |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 100 | $3,000 | thousands by filing date | call |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,031 | $3,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,930 | $3,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 564 | $3,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 500 | $3,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,811 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 101 | $3,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 104 | $3,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 1,089 | $3,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 201 | $3,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 114 | $3,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 378 | $3,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 2,000 | $3,000 | thousands by filing date | principal |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 510 | $3,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,711 | $3,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 400 | $3,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 1,706 | $3,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 200 | $3,000 | thousands by filing date | put |
| AIR INDS GROUP COM | 00912N205 | Stock | 957 | $3,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 2,000 | $3,000 | thousands by filing date | principal |
| Jason Industries Inc | 471172106 | COMMON STOCK | 1,600 | $3,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 300 | $3,000 | thousands by filing date | call |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 200 | $3,000 | thousands by filing date | call |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 774 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 125 | $3,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 300 | $3,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,246 | $3,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 800 | $3,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 3,000 | $3,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 88 | $3,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 2,855 | $3,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 4,900 | $3,000 | thousands by filing date | call |
| MOSYS INC COM | 619718109 | COM | 13,719 | $3,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 572 | $3,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 232 | $3,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 1,000 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 112 | $3,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 2,700 | $3,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 1,378 | $3,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 302 | $3,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 339 | $3,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 909 | $3,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 1,872 | $3,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 2,186 | $3,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 100 | $3,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 617 | $3,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,156 | $3,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 1,576 | $3,000 | thousands by filing date | |
| ACRE RLTY INVS INCORPORATED REIT | 00489F106 | REIT | 2,723 | $3,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 61 | $3,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 300 | $3,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 4,116 | $3,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 7,147 | $3,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 200 | $3,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 3,799 | $3,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 90 | $3,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 339 | $3,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 4,232 | $3,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 1,382 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 100 | $3,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E608 | KNLDG LD WD ETF | 100 | $3,000 | thousands by filing date | |
| CHINA RECYCLING ENERGY CORP | 168913200 | COM NEW | 1,792 | $3,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 167 | $3,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 489 | $3,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 1,012 | $3,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 45 | $3,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 1,704 | $3,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| MONSTER DIGITAL INC COM PAR NEW | 61174L501 | Stock | 1,917 | $3,000 | thousands by filing date | |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 701 | $3,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 1,586 | $3,000 | thousands by filing date | |
| CROSSROADS SYS INC COM PAR | 22765D407 | Stock | 627 | $3,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 10,950 | $3,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 8,761 | $3,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 549333300 | Stock | 2,687 | $3,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 3,872 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 100 | $3,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 5,043 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G631 | MLTFACT UTILTS | 99 | $3,000 | thousands by filing date | |
| AOXIN TIANLI GROUP INC | G0404E112 | NEW SHS | 905 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G509 | TAC MAN US COR | 148 | $3,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247107 | COM | 250 | $3,000 | thousands by filing date | |
| VESTIN RLTY MTG II INC | 92549X300 | COM PAR | 1,556 | $3,000 | thousands by filing date | |
| E COMPASS ACQUISITION CORP | G2920Y200 | UNIT 99/99/9999 | 300 | $3,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 200 | $2,000 | thousands by filing date | call |
| JETBLUE AWYS CORP | 477143101 | COM | 100 | $2,000 | thousands by filing date | put |
| GENWORTH FINL INC | 37247D106 | COM SHS | 400 | $2,000 | thousands by filing date | put |
| BED BATH & BEYOND INC | 690370101 | COM | 100 | $2,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 738 | $2,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 1,087 | $2,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 2,584 | $2,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 100 | $2,000 | thousands by filing date | call |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 698 | $2,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 84 | $2,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 540 | $2,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 381 | $2,000 | 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 |