13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-14, with 7,754 holding rows worth $193,207,174,000.
- Accession
- 0000950123-17-007964
- Filer
- CIK 1610520
- Filed
- 2017-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A combination report, 12,817 entries on the cover page, a total value of $193,207,174,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $193,207,230,000 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 |
|---|---|---|---|---|---|---|
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 31,324 | $31,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 1,876 | $31,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 2,042 | $31,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 14,266 | $31,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 1,671 | $31,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V806 | MFS SYS COR EQ | 447 | $31,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 1,470 | $31,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 19,042 | $31,000 | thousands by filing date | |
| PROSHARES TR II | 74347W213 | COM | 1,188 | $31,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 4,000 | $30,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 653 | $30,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 1,434 | $30,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 2,169 | $30,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 893 | $30,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 993 | $30,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 6,220 | $30,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 2,109 | $30,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 30,716 | $30,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 398 | $30,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,633 | $30,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 29,087 | $30,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 15,000 | $30,000 | thousands by filing date | principal |
| BOVIE MEDICAL CORP | 10211F100 | COM | 11,821 | $30,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 548 | $30,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 618 | $30,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 1,167 | $30,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 1,134 | $30,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 6,999 | $30,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 1,548 | $30,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 11,832 | $30,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,197 | $29,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 3,740 | $29,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,840 | $29,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 2,473 | $29,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 2,274 | $29,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 3,676 | $29,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,617 | $29,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 300 | $29,000 | thousands by filing date | put |
| IGC PHARMA INC | 45408X308 | COM NEW | 71,722 | $29,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 1,146 | $29,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,841 | $29,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 1,361 | $29,000 | thousands by filing date | |
| PROSHARES SP 500 DIVIDEND ARISTOCRATS ETF | 74347B482 | ETF | 739 | $29,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 614 | $29,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 1,115 | $29,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 11,708 | $29,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 11,007 | $29,000 | thousands by filing date | |
| M I ACQUISITIONS INC | 55304A104 | COM | 2,926 | $29,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 1,378 | $28,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 928 | $28,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 1,528 | $28,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,357 | $28,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 566 | $28,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 2,634 | $28,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 2,943 | $28,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 2,928 | $28,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 2,490 | $28,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 872 | $28,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 2,492 | $28,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 10,063 | $28,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 2,890 | $28,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 1,546 | $28,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 3,816 | $28,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 872 | $28,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 892 | $28,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 22,734 | $28,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 2,863 | $28,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 1,724 | $28,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC NEW | 29365M505 | Common Stock | 5,535 | $28,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 1,700 | $28,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K372 | DAILY HEALTHCARE | 1,259 | $28,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 900 | $27,000 | thousands by filing date | call |
| STOCK YDS BANCORP INC | 861025104 | COM | 700 | $27,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 1,014 | $27,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 300 | $27,000 | thousands by filing date | call |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,014 | $27,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 1,412 | $27,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 2,818 | $27,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 508 | $27,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 4,738 | $27,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 959 | $27,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 4,928 | $27,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 2,300 | $27,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 647 | $27,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 718 | $27,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 2,831 | $27,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 1,258 | $27,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,030 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 2,441 | $27,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 1,636 | $27,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,848 | $27,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 743 | $27,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 1,911 | $27,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,177 | $27,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 1,738 | $27,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T332 | NT BCOMCL 36 | 960 | $27,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 934 | $26,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 486 | $26,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 2,849 | $26,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 664 | $26,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 600 | $26,000 | thousands by filing date | put |
| PREFORMED LINE PRODS CO | 740444104 | COM | 558 | $26,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 1,096 | $26,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 3,577 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 1,234 | $26,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 1,046 | $26,000 | thousands by filing date | |
| COMCAST HOLDINGS CORP | 200300507 | ZONES CV2% PCS | 515 | $26,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 6,568 | $26,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 407 | $26,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 4,912 | $26,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,294 | $26,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 1,427 | $26,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 8,000 | $26,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 2,421 | $26,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 3,643 | $26,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 75,000 | $26,000 | thousands by filing date | principal |
| GULF RESOURCES INC | 40251W309 | COM | 16,332 | $26,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 655 | $26,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 2,801 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 763 | $26,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D373 | VELOCITY SHS 3X | 1,029 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 1,524 | $26,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 5,855 | $26,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 3,740 | $26,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 897 | $26,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 1,326 | $26,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 13,606 | $26,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 1,098 | $26,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 1,070 | $26,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP II | 31810G208 | UNIT 99/99/9999 | 2,537 | $26,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 200 | $25,000 | thousands by filing date | put |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 1,528 | $25,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 2,512 | $25,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 1,111 | $25,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 1,165 | $25,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,688 | $25,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 17,145 | $25,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 3,486 | $25,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 8,800 | $25,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 54,126 | $25,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,646 | $25,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 1,275 | $25,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 19,000 | $25,000 | thousands by filing date | principal |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 9,407 | $25,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 6,943 | $25,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 16,702 | $25,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 1,831 | $25,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 2,028 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC IPTH NAT GAS | 06740P239 | COM | 1,352 | $25,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 1,050 | $25,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 3,071 | $25,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 4,260 | $25,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 1,251 | $25,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 599 | $25,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 2,884 | $25,000 | thousands by filing date | |
| MATLIN & PARTNE | 57682V205 | Common Stock | 2,534 | $25,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 1,150 | $24,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 1,928 | $24,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 960 | $24,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 2,351 | $24,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,315 | $24,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,832 | $24,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 894 | $24,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 2,100 | $24,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 2,121 | $24,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 1,685 | $24,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 614 | $24,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 737 | $24,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 13,186 | $24,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 12,786 | $24,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 29,104 | $24,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 501 | $24,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 28,086 | $24,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 6,263 | $24,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 2,549 | $24,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 40,209 | $24,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 905 | $24,000 | thousands by filing date | |
| KAYNE ANDERSON ACQUISITION | 48661U102 | COM CL A | 2,500 | $24,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 25,000 | $24,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X420 | GLBL HGD SMLCP | 1,000 | $24,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 3,403 | $23,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 8,386 | $23,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 628 | $23,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 573 | $23,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 1,324 | $23,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 2,141 | $23,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,188 | $23,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 5,403 | $23,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,440 | $23,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 3,945 | $23,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 2,200 | $23,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,687 | $23,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 2,420 | $23,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 16,847 | $23,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 2,000 | $23,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,711 | $23,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 11,125 | $23,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 1,665 | $23,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 490 | $23,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 2,093 | $23,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 32,575 | $23,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 443 | $23,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 438 | $23,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 1,616 | $23,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 18,457 | $23,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,107 | $23,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 1,000 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 1,041 | $23,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 2,242 | $23,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 1,653 | $23,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,003 | $23,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 6,906 | $23,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 1,169 | $23,000 | thousands by filing date | |
| SPDR SER TR | 78468R119 | S&P TECH H | 319 | $23,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 37,845 | $23,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 483 | $23,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 26,306 | $22,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 1,956 | $22,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 2,675 | $22,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 300 | $22,000 | thousands by filing date | put |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,281 | $22,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 698 | $22,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,810 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 730 | $22,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 2,000 | $22,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 1,200 | $22,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 3,000 | $22,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 14,687 | $22,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 3,130 | $22,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 1,018 | $22,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 958 | $22,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,112 | $22,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 12,129 | $22,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,404 | $22,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,038 | $22,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,468 | $22,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 8,136 | $22,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 1,654 | $22,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 1,137 | $22,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 2,955 | $22,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 1,244 | $22,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 23,028 | $22,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,201 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 1,248 | $22,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,496 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74348A889 | GERMAN SOV/SUB | 586 | $22,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 738 | $22,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 2,264 | $22,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 2,182 | $22,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 30,419 | $22,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 589 | $21,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 10,576 | $21,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 875 | $21,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 2,265 | $21,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 4,154 | $21,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 688 | $21,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 307 | $21,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,611 | $21,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 2,065 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 327 | $21,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 16,036 | $21,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 533 | $21,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 1,082 | $21,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 1,268 | $21,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 12,425 | $21,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 47,619 | $21,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 1,512 | $21,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 28,395 | $21,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 35,327 | $21,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 5,119 | $21,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 3,004 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 574 | $21,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 2,957 | $21,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 1,000 | $21,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 1,247 | $21,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,942 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 589 | $21,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 56,456 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 1,104 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 514 | $21,000 | thousands by filing date | |
| KAYNE ANDERSON ACQUISITION | 48661U201 | UNIT 06/30/2022 | 2,141 | $21,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 1,054 | $21,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 1,339 | $21,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 3,616 | $21,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 617 | $21,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 531 | $21,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 2,260 | $21,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 2,015 | $21,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 2,376 | $20,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 6,383 | $20,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 40 | $20,000 | thousands by filing date | call |
| CROWN CASTLE INC COM | 22822V101 | REIT | 200 | $20,000 | thousands by filing date | put |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 900 | $20,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 367 | $20,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 258 | $20,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 1,911 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 800 | $20,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 11,026 | $20,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 700 | $20,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 24,890 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 527 | $20,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 588 | $20,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 869 | $20,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 4,320 | $20,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 935 | $20,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 6,000 | $20,000 | thousands by filing date | principal |
| REALNETWORKS INC | 75605L708 | COM | 4,408 | $20,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 20,000 | $20,000 | thousands by filing date | principal |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 1,115 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 794 | $20,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 20,000 | $20,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD CBOE | 33733E609 | S\&P.* | 786 | $20,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,406 | $20,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 216 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G878 | IPATH GEMS ASIA8 | 490 | $20,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,223 | $20,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,180 | $20,000 | thousands by filing date | |
| CLEARBRIDGE ALL CAP GROWTH ESG | 524682101 | FUND | 800 | $20,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 33,389 | $20,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 2,283 | $20,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 6,935 | $20,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 844 | $20,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 1,549 | $20,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 841 | $20,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 8,418 | $20,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 1,582 | $20,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 1,410 | $20,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 1,340 | $20,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,671 | $19,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 1,165 | $19,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 973 | $19,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 2,103 | $19,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 1,200 | $19,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 2,068 | $19,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 927 | $19,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 4,256 | $19,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,387 | $19,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 1,178 | $19,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 1,898 | $19,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 11,288 | $19,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 2,750 | $19,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 536 | $19,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 984 | $19,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 5,324 | $19,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,187 | $19,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 905 | $19,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 1,220 | $19,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 1,686 | $19,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 726 | $19,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 2,139 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 1,156 | $19,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 265 | $19,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 1,796 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 1,095 | $19,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 2,061 | $19,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 1,374 | $19,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 2,753 | $19,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 690 | $19,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 2,910 | $19,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 1,447 | $19,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q102 | COM | 17,969 | $19,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 328 | $19,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V101 | COM | 1,900 | $19,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,804 | $18,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 1,000 | $18,000 | thousands by filing date | put |
| GLAUKOS CORP COM | 377322102 | Stock | 437 | $18,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 500 | $18,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 592 | $18,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 500 | $18,000 | thousands by filing date | put |
| AMERICAN VANGUARD CORP | 030371108 | COM | 1,020 | $18,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 527 | $18,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 659 | $18,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 283 | $18,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 681 | $18,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 27,932 | $18,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 3,344 | $18,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 2,582 | $18,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 468 | $18,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 1,000 | $18,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 764 | $18,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 2,244 | $18,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 2,418 | $18,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 991 | $18,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 1,541 | $18,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 9,790 | $18,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 3,616 | $18,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 336 | $18,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 195 | $18,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 211 | $18,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,949 | $18,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,712 | $18,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 3,992 | $18,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 2,779 | $18,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 4,546 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 100 | $18,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 4,175 | $18,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 6,100 | $18,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 1,992 | $18,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,455 | $18,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 2,157 | $17,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 6,045 | $17,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 1,818 | $17,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 563 | $17,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 604 | $17,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 400 | $17,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 2,045 | $17,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,118 | $17,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,259 | $17,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 552 | $17,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 2,567 | $17,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 907 | $17,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 10,200 | $17,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 7,761 | $17,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,753 | $17,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,554 | $17,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 2,244 | $17,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 2,662 | $17,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 10,000 | $17,000 | thousands by filing date | principal |
| RENTECH INC | 760112201 | COMMON STOCK | 36,196 | $17,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 1,316 | $17,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 1,138 | $17,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 3,873 | $17,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 604 | $17,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 4,500 | $17,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 1,010 | $17,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 4,000 | $17,000 | thousands by filing date | principal |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,000 | $17,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,600 | $17,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 3,185 | $17,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 479 | $17,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 1,807 | $17,000 | thousands by filing date | |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 1,063 | $17,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 318 | $17,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P171 | IPTH ALUMN ETN | 654 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 1,108 | $17,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 1,048 | $17,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 14,010 | $17,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 868 | $17,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 12,401 | $17,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 870 | $17,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,973 | $17,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 1,436 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 541 | $17,000 | thousands by filing date | |
| WCF BANCORP INC | 92940L103 | COM | 1,663 | $17,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 3,446 | $17,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 29,484 | $17,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 2,377 | $17,000 | thousands by filing date | |
| AXAR ACQUISITION CORP | 05455L102 | COM | 1,700 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K174 | DAILY GLD MINE | 621 | $17,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B302 | SPONSORED ADR LE | 7,939 | $17,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544114 | *W EXP 03/10/202 | 15,412 | $17,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 1,038 | $16,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 489 | $16,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,358 | $16,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 979 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 481 | $16,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,714 | $16,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 1,255 | $16,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 6,572 | $16,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 1,550 | $16,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 8,625 | $16,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 9,918 | $16,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 4,300 | $16,000 | thousands by filing date | call |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 4,159 | $16,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,756 | $16,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 3,395 | $16,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 312 | $16,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 2,203 | $16,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $16,000 | thousands by filing date | principal |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 3,975 | $16,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,219 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 489 | $16,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 26,317 | $16,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 12,611 | $16,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 7,000 | $16,000 | thousands by filing date | principal |
| Allegiance Bancshares | 01748H107 | COM | 420 | $16,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 7,146 | $16,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 4,891 | $16,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 688 | $16,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 1,239 | $16,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 976 | $16,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 3,813 | $16,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 9,304 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 525 | $16,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 2,445 | $16,000 | thousands by filing date | |
| DIGILITI MONEY GROUP INC | 25381F102 | COM | 5,139 | $16,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 276 | $15,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,568 | $15,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 727 | $15,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 700 | $15,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 973 | $15,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 635 | $15,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 2,626 | $15,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 688 | $15,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 1,891 | $15,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 1,786 | $15,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 15,750 | $15,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 199 | $15,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 895 | $15,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-007964 | this filing | 2017-08-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-17-010878 | base | 2017-11-14 | acceptance time not in the bulk data set |