13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-12, with 7,738 holding rows worth $183,240,211,000.
- Accession
- 0000950123-17-004863
- Filer
- CIK 1610520
- Filed
- 2017-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A combination report, 12,925 entries on the cover page, a total value of $183,240,211,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $183,240,288,000 with VALUE read as thousands by filing date, 13F file number 028-16612. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 5,307 | $25,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 3,148 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 1,537 | $25,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 850 | $25,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 2,500 | $25,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 26,779 | $25,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 1,531 | $25,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,818 | $25,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y628 | ATHENA HGH DIV | 1,358 | $25,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 200 | $24,000 | thousands by filing date | put |
| CITY OFFICE REIT INC | 178587101 | COM | 1,959 | $24,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 1,155 | $24,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 2,512 | $24,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 3,700 | $24,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,446 | $24,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 5,012 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 365 | $24,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 2,017 | $24,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 942 | $24,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 9,255 | $24,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 9,084 | $24,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 1,110 | $24,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 2,163 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 2,092 | $24,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 10,600 | $24,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 682 | $24,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 1,854 | $24,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 12,596 | $24,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 933 | $24,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P320 | IPTH LIVESTK | 583 | $24,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K513 | DLY CYB SEC BULL | 492 | $24,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 500 | $23,000 | thousands by filing date | put |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 2,639 | $23,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 961 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 1,300 | $23,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 2,169 | $23,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 3,764 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 238 | $23,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 2,431 | $23,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 2,264 | $23,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 50,000 | $23,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 673 | $23,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,568 | $23,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 756 | $23,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 2,317 | $23,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 14,805 | $23,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 8,419 | $23,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 1,506 | $23,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 7,264 | $23,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 12,101 | $23,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,000 | $23,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 1,054 | $23,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 790 | $23,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 11,234 | $23,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 668 | $23,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 605 | $23,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 3,377 | $23,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 905 | $23,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 925 | $23,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 25,000 | $23,000 | thousands by filing date | principal |
| EGALET CORP | 28226B104 | COM | 4,333 | $23,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 2,470 | $23,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 463 | $23,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G821 | SPIRITED ETFMG | 880 | $23,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 2,219 | $23,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 824 | $22,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 4,368 | $22,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 613 | $22,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 717 | $22,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 929 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 358 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 764 | $22,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 1,039 | $22,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 1,528 | $22,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 553 | $22,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 1,374 | $22,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 1,661 | $22,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 11,656 | $22,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,395 | $22,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,718 | $22,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 2,978 | $22,000 | thousands by filing date | |
| CHEMTURA CORP | 163893209 | COM NEW | 655 | $22,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 3,913 | $22,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 651 | $22,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,538 | $22,000 | thousands by filing date | |
| WOLVERINE BANCORP INC | 977880103 | COM | 667 | $22,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 789 | $22,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 1,072 | $22,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 100 | $22,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 2,250 | $22,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 2,800 | $22,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 2,300 | $22,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 770 | $22,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,353 | $22,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 785 | $21,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 348 | $21,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 700 | $21,000 | thousands by filing date | put |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 670 | $21,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 845 | $21,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 698 | $21,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 380 | $21,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 693 | $21,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 440 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 730 | $21,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 2,801 | $21,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 10,400 | $21,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 8,782 | $21,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,609 | $21,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 600 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 490 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 402 | $21,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 500 | $21,000 | thousands by filing date | call |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 2,987 | $21,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 2,253 | $21,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 6,647 | $21,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 2,667 | $21,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 32,387 | $21,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 4,541 | $21,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 1,324 | $21,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 2,479 | $21,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 1,000 | $21,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 1,204 | $21,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 5,031 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 514 | $21,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,328 | $21,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 46,465 | $21,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 13,086 | $21,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 492 | $21,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 576 | $21,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544114 | *W EXP 03/10/202 | 26,812 | $21,000 | thousands by filing date | |
| PACIFIC SPL ACQUISITION CORP | G68588139 | UNIT 99/99/9999 | 1,900 | $21,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 500 | $20,000 | thousands by filing date | put |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 2,447 | $20,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 437 | $20,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 502 | $20,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 797 | $20,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 1,050 | $20,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 3,292 | $20,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 900 | $20,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 1,473 | $20,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 605 | $20,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,537 | $20,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,347 | $20,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 667 | $20,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,743 | $20,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 6,055 | $20,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 4,817 | $20,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 7,900 | $20,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 5,768 | $20,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 1,395 | $20,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 3,077 | $20,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 60,000 | $20,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 20,000 | $20,000 | thousands by filing date | principal |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 940 | $20,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 2,549 | $20,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 13,056 | $20,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 2,373 | $20,000 | thousands by filing date | |
| CACHET FINL SOLUTIONS INC | 12718M307 | COM PAR | 4,752 | $20,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 100 | $19,000 | thousands by filing date | put |
| ADECOAGRO S A | L00849106 | COM | 1,700 | $19,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 207 | $19,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 1,161 | $19,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,919 | $19,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 327 | $19,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 560 | $19,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,493 | $19,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 750 | $19,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 3,750 | $19,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 731 | $19,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 1,125 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 686 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 527 | $19,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 968 | $19,000 | thousands by filing date | |
| COMCAST HOLDINGS CORP | 200300507 | ZONES CV2% PCS | 320 | $19,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 13,538 | $19,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 3,329 | $19,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,067 | $19,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 4,300 | $19,000 | thousands by filing date | call |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 4,969 | $19,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 6,000 | $19,000 | thousands by filing date | principal |
| K12 INC | 48273U102 | COM | 1,000 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 1,354 | $19,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 670 | $19,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,770 | $19,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 805 | $19,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 2,106 | $19,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 12,575 | $19,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 3,743 | $19,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 18,299 | $19,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 10,693 | $19,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T324 | VEL SH 3X LG NAT | 899 | $19,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 930 | $19,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18385P705 | GUGGENHEIM ETF | 365 | $19,000 | thousands by filing date | |
| BEBE STORES INC COM NEW | 075571208 | Common Stock | 4,917 | $19,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 10,798 | $19,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 6,532 | $19,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 1,141 | $19,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 1,985 | $18,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 1,995 | $18,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 1,898 | $18,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 766 | $18,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,154 | $18,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 820 | $18,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 510 | $18,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 394 | $18,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 694 | $18,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 285 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 589 | $18,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,213 | $18,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 2,179 | $18,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 442 | $18,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 656 | $18,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 2,152 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 506 | $18,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 734 | $18,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,395 | $18,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 764 | $18,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 773 | $18,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 2,800 | $18,000 | thousands by filing date | call |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 2,307 | $18,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 3,322 | $18,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 53,826 | $18,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 1,138 | $18,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 1,576 | $18,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 1,914 | $18,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 7,131 | $18,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 10,200 | $18,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 6,500 | $18,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 22,105 | $18,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 9,000 | $18,000 | thousands by filing date | principal |
| MITCHAM INDS INC COM | 606501104 | COM | 3,654 | $18,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 1,223 | $18,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 2,110 | $18,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,194 | $18,000 | thousands by filing date | |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 1,086 | $18,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 2,392 | $18,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 4,615 | $18,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 2,398 | $18,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 1,120 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 401 | $18,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 1,148 | $18,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 3,984 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 720 | $18,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 691 | $18,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,455 | $18,000 | thousands by filing date | |
| WCF BANCORP INC | 92940L103 | COM | 1,792 | $18,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 711 | $18,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 1,500 | $18,000 | thousands by filing date | |
| KLR ENERGY ACQUISITION CORP | 49877M207 | UNIT 12/31/2020 | 1,634 | $18,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061870 | DHANDHO JUNOON | 688 | $18,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 294 | $17,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 2,413 | $17,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 400 | $17,000 | thousands by filing date | put |
| MODINE MFG CO COM | 607828100 | Stock | 1,427 | $17,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 480 | $17,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 400 | $17,000 | thousands by filing date | put |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 798 | $17,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 1,583 | $17,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 2,766 | $17,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 273 | $17,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,360 | $17,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 1,411 | $17,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 1,209 | $17,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 1,279 | $17,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 2,548 | $17,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 10,000 | $17,000 | thousands by filing date | principal |
| EXPRESS INC | 30219E103 | COMMON STOCK | 1,860 | $17,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 1,428 | $17,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,252 | $17,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 1,505 | $17,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 8,000 | $17,000 | thousands by filing date | put |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,245 | $17,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 1,137 | $17,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 2,674 | $17,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 1,956 | $17,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,431 | $17,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,626 | $17,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 1,488 | $17,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 1,312 | $17,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G878 | IPATH GEMS ASIA8 | 405 | $17,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 21,088 | $17,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 6,221 | $17,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 1,135 | $17,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 4,209 | $17,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 16,360 | $17,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 1,400 | $17,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 3,281 | $17,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 13,682 | $17,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 3,772 | $17,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 21,295 | $17,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 6,028 | $17,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 4,625 | $17,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 916 | $17,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 382 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 1,117 | $17,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T290 | XLNKS AMLP ETN36 | 619 | $17,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 5,083 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 1,014 | $17,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,553 | $16,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 816 | $16,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 889 | $16,000 | thousands by filing date | call |
| HEALTHSTREAM INC | 42222N103 | COM | 655 | $16,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 2,754 | $16,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,118 | $16,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 621 | $16,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,184 | $16,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 583 | $16,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 844 | $16,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 1,125 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 982 | $16,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 1,152 | $16,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,947 | $16,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 1,779 | $16,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 199 | $16,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 318 | $16,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 3,033 | $16,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 200 | $16,000 | thousands by filing date | put |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 3,869 | $16,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 3,759 | $16,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 428 | $16,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 515 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 425 | $16,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 31,415 | $16,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 1,268 | $16,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 40,075 | $16,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 538 | $16,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 130,236 | $16,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 852 | $16,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 41,000 | $16,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 13,825 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 489 | $16,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 3,302 | $16,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 9,040 | $16,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 909 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 497 | $16,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 2,696 | $16,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E291 | VLCTYSHS 3X LNG | 817 | $16,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,339 | $16,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 3,276 | $16,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 3,803 | $16,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 8,659 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X210 | MSCI CHINA ETF | 730 | $16,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M864 | LBT VEN COM B NE | 358 | $16,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 42,392 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A867 | MASTER INC ETF | 856 | $16,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,872 | $15,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 200 | $15,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 11,514 | $15,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 698 | $15,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 940 | $15,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 2,920 | $15,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 806 | $15,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 2,092 | $15,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 988 | $15,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,293 | $15,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 300 | $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 |
| AWARE INC MASS | 05453N100 | CMN | 3,284 | $15,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,346 | $15,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 3,175 | $15,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 2,122 | $15,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,413 | $15,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 17,767 | $15,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 4,000 | $15,000 | thousands by filing date | principal |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,507 | $15,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $15,000 | thousands by filing date | principal |
| Tremor Video | 89484Q100 | Common Stock | 7,584 | $15,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 15,600 | $15,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 2,212 | $15,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 1,106 | $15,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 3,726 | $15,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,122 | $15,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 826 | $15,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 7,000 | $15,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 335 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 318 | $15,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 3,144 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 990 | $15,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 834 | $15,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 8,455 | $15,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 1,490 | $15,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 7,560 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A186 | ULTRPRO SHRT NEW | 1,017 | $15,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B201 | UNIT 99/99/9999 | 1,409 | $15,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC COM NEW | 775431208 | Stock | 4,298 | $15,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 1,215 | $15,000 | thousands by filing date | |
| USCF ETF TR | 90290T106 | STK SPLT IDX FD | 898 | $15,000 | thousands by filing date | |
| USCF ETF TR | 90290T205 | RESTAURNT LDRS | 831 | $15,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 2,377 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K786 | DL RUSS BEAR 3X | 2,347 | $15,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 840 | $14,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 537 | $14,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 751 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 528 | $14,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 1,100 | $14,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 15,029 | $14,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 947 | $14,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,566 | $14,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 846 | $14,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,451 | $14,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 4,267 | $14,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 487 | $14,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 895 | $14,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 10,499 | $14,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,342 | $14,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 10,000 | $14,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 150 | $14,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 1,452 | $14,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 2,999 | $14,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 465 | $14,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 3,579 | $14,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 5,320 | $14,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 2,038 | $14,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 25,357 | $14,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,572 | $14,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 9,832 | $14,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 4,862 | $14,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 1,292 | $14,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 8,133 | $14,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 6,218 | $14,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 4,642 | $14,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 5,192 | $14,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 10,638 | $14,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 1,318 | $14,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 6,620 | $14,000 | thousands by filing date | |
| LONG IS ICED TEA CORP | 54267E104 | COM | 3,487 | $14,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 5,723 | $14,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 1,400 | $14,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 11,823 | $14,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612109 | SHS | 2,406 | $14,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 870 | $14,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 11,990 | $14,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 4,035 | $14,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 22,714 | $14,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B302 | SPONSORED ADR LE | 5,548 | $14,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G509 | TAC MAN US COR | 637 | $14,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 335 | $13,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 3,511 | $13,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 300 | $13,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 600 | $13,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 695 | $13,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 231 | $13,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 635 | $13,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 1,999 | $13,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,343 | $13,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 269 | $13,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 2,026 | $13,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 450 | $13,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 1,200 | $13,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 551 | $13,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 4,125 | $13,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 2,532 | $13,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 455 | $13,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 3,274 | $13,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 66 | $13,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 200 | $13,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 718 | $13,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,770 | $13,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 1,000 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 928 | $13,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 1,061 | $13,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 863 | $13,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 7,752 | $13,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 781 | $13,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 5,746 | $13,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 1,014 | $13,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 158 | $13,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 2,136 | $13,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,669 | $13,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 8,763 | $13,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 2,091 | $13,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 956 | $13,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 30,401 | $13,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 558 | $13,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 181 | $13,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 202 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P866 | FUND | 434 | $13,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 33,776 | $13,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 3,801 | $13,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 2,056 | $13,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 4,113 | $13,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,596 | $13,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 3,112 | $13,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 784 | $13,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,349 | $13,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q803 | DIVERSIFIED ET | 500 | $13,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 3,451 | $13,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 4,400 | $13,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 4,297 | $13,000 | thousands by filing date | |
| DBX ETF TR XTRCK MSCI EUROZ | 233051614 | ETF | 500 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 705 | $13,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W123 | UNIT 03/22/2022 | 1,300 | $13,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 12,031 | $13,000 | thousands by filing date | |
| WISDOMTREE STRONG DOLLAR EM | 97717X487 | ETP | 481 | $13,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 200 | $12,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 570 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 201 | $12,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 191 | $12,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 673 | $12,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,602 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-004863 | this filing | 2017-05-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-17-010864 | base | 2017-11-14 | acceptance time not in the bulk data set |