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 |
|---|---|---|---|---|---|---|
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 37 | $2,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 991 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B557 | SP500 EX TECH | 50 | $2,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 1,123 | $2,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 159 | $2,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 200 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 49 | $2,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 509 | $2,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 61 | $2,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 150 | $2,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 60 | $2,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 2,214 | $2,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 200 | $2,000 | thousands by filing date | call |
| YAMANA GOLD INC | 98462Y100 | COM | 600 | $2,000 | thousands by filing date | put |
| DBX ETF TR | 233051408 | FUND | 74 | $2,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 166 | $2,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 900 | $2,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 3,000 | $2,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,000 | $2,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 1,122 | $2,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 2,600 | $2,000 | thousands by filing date | put |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,793 | $2,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 3,295 | $2,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 2,200 | $2,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 1,171 | $2,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 2,315 | $2,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 250 | $2,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 1,934 | $2,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 8,421 | $2,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 115 | $2,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 2,153 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 38 | $2,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 2,000 | $2,000 | thousands by filing date | principal |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 120 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 538 | $2,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 1,880 | $2,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 4,145 | $2,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 1,980 | $2,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 5,113 | $2,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 1,332 | $2,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 953 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 75 | $2,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 2,550 | $2,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 2,200 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H453 | FUND | 84 | $2,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 2,182 | $2,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 3,533 | $2,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 149 | $2,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 100 | $2,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767801 | MSCI ALL CHINA | 92 | $2,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 56 | $2,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 1,384 | $2,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 2,109 | $2,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 2,020 | $2,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 554 | $2,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 1,312 | $2,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 62 | $2,000 | thousands by filing date | |
| ETF MANAGER GROUP COMMODITY | 26923H101 | SIT RISING RTE | 100 | $2,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 15 | $2,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 920 | $2,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC NEW | 29365M505 | Common Stock | 1,103 | $2,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 415 | $2,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 1,165 | $2,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 292 | $2,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 1,000 | $2,000 | thousands by filing date | put |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 2,000 | $2,000 | thousands by filing date | principal |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 2,000 | $2,000 | thousands by filing date | principal |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 100 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 61 | $2,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 2,000 | $2,000 | thousands by filing date | principal |
| JANUS DETROIT STR TR OBESITY ETF | 47103U506 | CEF | 95 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 1,400 | $2,000 | thousands by filing date | |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 1,646 | $2,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 10,000 | $2,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 100 | $2,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 350 | $2,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 115 | $2,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ABEONA THERAPEUTICS INC | 00289Y115 | *W EXP 12/24/201 | 800 | $2,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 294 | $2,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 2,000 | $2,000 | thousands by filing date | principal |
| ISHARES EDGE MSCI MULTIFACTOR CONSUMER STAPLES ETF | 46435G615 | ETF | 98 | $2,000 | thousands by filing date | |
| GUGGENHEIM S&P 100 EQUAL WEIGHT ETF | 78355W478 | ETF | 60 | $2,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 663 | $2,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 1,121 | $2,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 81 | $2,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 2,000 | $2,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 2,543 | $2,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B302 | SPONSORED ADR LE | 731 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B664 | ULTSHT OIL GAS | 190 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B599 | HDG FTSE JAPAN | 62 | $2,000 | thousands by filing date | |
| TROVAGENE INC | 897238200 | UNIT 12/31/2017 | 240 | $2,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 600 | $2,000 | thousands by filing date | |
| HONGLI CLEAN ENERGY TECHNOLO | 438586208 | COM NEW | 986 | $2,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 5,000 | $2,000 | thousands by filing date | |
| MACROCURE LTD | M67872107 | SHS | 1,705 | $2,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 100 | $1,000 | thousands by filing date | put |
| CROCS INC COM | 227046109 | Stock | 74 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 288 | $1,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 250 | $1,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 47 | $1,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 1,271 | $1,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 38 | $1,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 19 | $1,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 75 | $1,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 35 | $1,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 100 | $1,000 | thousands by filing date | put |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 100 | $1,000 | thousands by filing date | put |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 30 | $1,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 105 | $1,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 800 | $1,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 841 | $1,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 96 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 47 | $1,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 277 | $1,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 701 | $1,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 433 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 23 | $1,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 300 | $1,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 100 | $1,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 323 | $1,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 1,074 | $1,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 200 | $1,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 65 | $1,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 504 | $1,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 880 | $1,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 332 | $1,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 1,337 | $1,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 100 | $1,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,025 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 1,400 | $1,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 79 | $1,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 8,075 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 53 | $1,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 142 | $1,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 1,454 | $1,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 34 | $1,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 31 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 84 | $1,000 | thousands by filing date | |
| Call - ZION $36.27 Exp 11/14/2018 | 989701131 | Warrants | 130 | $1,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 1,150 | $1,000 | thousands by filing date | |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 7,267 | $1,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 1,500 | $1,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 74 | $1,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 29 | $1,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 967 | $1,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 325 | $1,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P131 | W EXP 06/11/201 | 20,469 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 40 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 34 | $1,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 678 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 64 | $1,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 50 | $1,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 66 | $1,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 350 | $1,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 1,936 | $1,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 246 | $1,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 969 | $1,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 165 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 38 | $1,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 46 | $1,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 1,000 | $1,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 64 | $1,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 216 | $1,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 22 | $1,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 226 | $1,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 442 | $1,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A110 | UNIT 99/99/9999 | 80 | $1,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 50 | $1,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 97 | $1,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760145 | *W EXP 11/10/202 | 3,400 | $1,000 | thousands by filing date | |
| CROSSROADS CAP INC COM | 227656105 | COM | 562 | $1,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 243 | $1,000 | thousands by filing date | |
| SHINECO INC COM NEW | 824567200 | Stock | 331 | $1,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 24 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 35 | $1,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 481 | $1,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 500 | $1,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 683 | $1,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 61 | $1,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 2,001 | $1,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 257 | $1,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 500 | $1,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 1,393 | $1,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 1,000 | $1,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A194 | ULTRASHORT GOLD | 33 | $1,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B102 | COM | 100 | $1,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 2,900 | $1,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 378 | $1,000 | thousands by filing date | |
| CHINA COML CR INC | 16891K103 | COM | 1,087 | $1,000 | thousands by filing date | |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 3,376 | $1,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 965 | $1,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 31 | $1,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 1,000 | $1,000 | thousands by filing date | principal |
| INSPIRED ENTMT INC | 45782N116 | *W EXP 10/20/202 | 2,760 | $1,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 829 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 360 | $1,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 1,439 | $1,000 | thousands by filing date | |
| GEVO INC COM PAR | 374396208 | Stock | 6,121 | $1,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 3,176 | $1,000 | thousands by filing date | |
| JM GLOBAL HLDG CO | 46590H101 | COM | 100 | $1,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 456 | $1,000 | thousands by filing date | |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 148 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G855 | ISECTR GRW ETF | 42 | $1,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V127 | *W EXP 02/11/202 | 8,900 | $1,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536121 | *W EXP 08/12/202 | 1,222 | $1,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D168 | VELOCITYSHS TAIL | 40 | $1,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP | 74979C113 | *W | 5,600 | $1,000 | thousands by filing date | |
| MONSTER DIGITAL INC | 61174L113 | *W EXP 99/99/999 | 3,125 | $1,000 | thousands by filing date | |
| OPGEN INC | 68373L117 | *W EXP 05/05/202 | 7,122 | $1,000 | thousands by filing date | |
| RENNOVA HEALTH INC | 759757123 | *W EXP 06/30/202 | 30,100 | $1,000 | thousands by filing date | |
| CF CORP | G20307115 | *W EXP 05/25/202 | 500 | $1,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 928 | $1,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V305 | COM PAR | 433 | $1,000 | thousands by filing date | |
| KLR ENERGY ACQUISITION CORP | 49877M207 | UNIT 12/31/2020 | 89 | $1,000 | thousands by filing date | |
| GENVEC INC | 37246C406 | COM PAR | 370 | $1,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 500 | $1,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G862 | PURE FDS HELTH | 34 | $1,000 | thousands by filing date | |
| CERECOR INC | 15671L125 | *W EXP 04/20/201 | 16,784 | $1,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326110 | *W EXP 01/31/201 | 30,861 | $1,000 | thousands by filing date | |
| XEROX CORP | 984121129 | EX DISTRIBUTN | 100 | $1,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 832 | $1,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G102 | SPONSORED ADR | 2,009 | $1,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002104 | COM | 1,800 | $1,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 145 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 97 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEALTHGAS INC | Y81669106 | COM | 142 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORECARD CORPORATION | 45816D100 | COM | 82 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUNA INNOVATIONS INC | 550351100 | COM | 455 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CARVER BANCORP ORD | 146875604 | COM | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DENBURY RES INC | 247916208 | COM NEW | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 225 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANRO CORP | 066800103 | COM | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAST THERAPEUTICS INC | 576314108 | COM | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 65 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEONODE INC | 64051M402 | COM NEW | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 1,916 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATUZZI S P A | 63905A101 | ADR | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 370 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 2,507 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X883 | GLB RL RETURN | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LDN BRH | 25154H541 | PSHS AGRI SHR38 | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 408 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 1,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBALSCAPE INC | 37940G109 | COM | 96 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALECTIN THERAPEUTICS INC | 363225111 | W EXP 03/28/201 | 2,112 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y750 | QAM EQTY HEDGE | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 9,483 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 126,340 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELCATH SYS INC | 24661P500 | COM PAR | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHOTOMEDEX INC | 719358400 | COM PAR NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RESONANT INC | 76118L102 | COM | 94 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 847 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNLOGIC | 60470J103 | Stock | 88 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PAVMED INC | 70387R114 | *W EXP 01/29/202 | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Cenveo Inc (NV) | 15670S402 | CS | 78 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25490K166 | DAILY EUROPEAN | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 813 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 68 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F138 | *W EXP 04/20/202 | 180 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 2,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BENITEC BIOPHARMA LTD | 082053117 | *W EXP 08/14/202 | 279 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 180 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 6,800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F120 | *W EXP 08/20/201 | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 5,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 246 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATOSSA GENETICS INC | 04962H209 | COM NEW | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPHERE 3D CORP NEW | 84841L100 | COM | 757 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORM HLDGS CORP COM | 34634E102 | Stock | 422 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 53 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LM FDG AMER INC | 502074107 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOBIOLOG-CW17A | 68235M113 | EQUITY WRT | 1,110 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 626 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDOVEX CORP | 58504H119 | *W EXP 12/24/201 | 2,312 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELTA TECHNOLOGY HLDGS LTD | G8477B113 | *W EXP 12/18/201 | 700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONYERS PK ACQUISITION | 212894117 | *W EXP 07/20/202 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC SPL ACQUISITION CORP | G68588121 | *W EXP 10/20/202 | 457 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARMONY MERGER CORP | 413247206 | UNIT 99/99/9999 | 154 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUROMETRIX INC | 641255500 | COM PAR NEW | 154 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPNIA INC | 14066L113 | *W EXP 11/12/201 | 3,522 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CNOVA ORD | N20947102 | COM | 63 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFS TR | 26923J206 | ZACKS SM CP US | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |