13F-HR/A filed by UBS Group AG
UBS Group AG filed this 13F-HR/A for the quarter ended 2017-03-31, filed 2017-11-14, with 7,738 holding rows worth $183,251,187,000.
- Accession
- 0000950123-17-010864
- Filer
- CIK 1610520
- Filed
- 2017-11-14
- 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, amendment of type restatement, 12,925 entries on the cover page, a total value of $183,251,187,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $183,251,187,000 with VALUE read as thousands by filing date, 13F file number 028-16612. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerUBS ASSET MANAGEMENT (AMERICAS) INC 028-02682
- reports for this filerUBS OCONNOR LLC 028-06327
- included managerUBS Financial Services Inc. 028-11496
- included managerUBS Swiss Financial Advisors AG 028-11603
- included managerUBS AG New York Branch 028-07344
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| MITEL NETWORKS CORP | 60671Q104 | COM | 16,351 | $113,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 10,632 | $112,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 9,195 | $112,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 1,970 | $112,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 59,633 | $112,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 7,658 | $112,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 34,282 | $112,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 3,294 | $111,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 2,500 | $111,000 | thousands by filing date | call |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 1,337 | $111,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 1,389 | $111,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 8,506 | $111,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 7,885 | $110,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 24,656 | $110,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 7,825 | $110,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 3,932 | $110,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 15,579 | $110,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 3,165 | $110,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 44,476 | $110,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 5,039 | $110,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 2,690 | $109,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 3,074 | $109,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 11,847 | $108,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 10,091 | $108,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 3,431 | $108,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 13,393 | $108,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 7,295 | $108,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 12,358 | $108,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 13,657 | $107,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 4,163 | $107,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 7,545 | $107,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 3,423 | $107,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 6,871 | $107,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 3,068 | $106,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 6,203 | $106,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 19,323 | $106,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 2,536 | $106,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 2,130 | $106,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 30,507 | $106,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 750 | $106,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 16,500 | $106,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 6,109 | $105,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,412 | $105,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 3,061 | $105,000 | thousands by filing date | |
| PROSHARES TR II | 74347W270 | ULTRA YEN NEW | 1,746 | $105,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 1,966 | $105,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 8,889 | $105,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,642 | $105,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 13,200 | $105,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 900 | $104,000 | thousands by filing date | put |
| NASDAQ INC COM | 631103108 | Stock | 1,500 | $104,000 | thousands by filing date | call |
| AUTODESK INC COM | 052769106 | Stock | 1,200 | $104,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 2,829 | $104,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 80,000 | $104,000 | thousands by filing date | put |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 80,000 | $104,000 | thousands by filing date | call |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 3,621 | $104,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,400 | $103,000 | thousands by filing date | put |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 3,845 | $103,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 2,545 | $103,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 17,218 | $103,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,009 | $103,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 27,000 | $103,000 | thousands by filing date | principal |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 6,997 | $103,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 23,608 | $103,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 1,000 | $102,000 | thousands by filing date | call |
| OMNICELL COM COM | 68213N109 | Stock | 2,497 | $102,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 9,157 | $102,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 1,016 | $102,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 4,884 | $102,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 2,553 | $102,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 1,018 | $102,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 11,500 | $101,000 | thousands by filing date | call |
| SRC ENERGY INC | 78470V108 | COM | 11,970 | $101,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 4,935 | $101,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 8,000 | $101,000 | thousands by filing date | call |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 3,031 | $101,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 11,824 | $101,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 35,562 | $101,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 3,805 | $101,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 3,800 | $100,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 4,318 | $100,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 3,035 | $100,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 1,993 | $100,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 7,756 | $100,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 4,546 | $100,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 5,894 | $100,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 4,969 | $100,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 459 | $99,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 2,604 | $99,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 3,715 | $99,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 7,472 | $98,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 16,368 | $98,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 3,826 | $98,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 5,530 | $98,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 2,176 | $97,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 5,233 | $97,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 22,929 | $97,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 2,096 | $97,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 3,231 | $97,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 6,000 | $96,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 13,651 | $96,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 1,452 | $96,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 1,780 | $96,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K299 | LTN AM BL 3X NEW | 844 | $96,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 1,000 | $95,000 | thousands by filing date | call |
| TRUBRIDGE INC | 205306103 | COM | 3,383 | $95,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 7,521 | $95,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 7,060 | $95,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 1,059 | $94,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 2,433 | $94,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 8,034 | $94,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 12,715 | $94,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 7,140 | $93,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 3,825 | $93,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 6,713 | $93,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 3,300 | $93,000 | thousands by filing date | call |
| STEIN MART INC | 858375108 | COM | 30,809 | $93,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 5,816 | $92,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 21,384 | $92,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 24,752 | $92,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 1,961 | $92,000 | thousands by filing date | |
| INTEGER HLDGS CORP | 45826H109 | COM | 2,271 | $91,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 2,157 | $91,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 10,653 | $91,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,688 | $91,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 1,642 | $91,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 6,152 | $91,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 57,121 | $91,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 4,070 | $91,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 3,406 | $90,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 1,812 | $90,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 2,973 | $90,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 2,382 | $90,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 14,868 | $90,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 21,000 | $90,000 | thousands by filing date | principal |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 3,203 | $89,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 4,146 | $89,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 2,522 | $89,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 6,990 | $89,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 2,187 | $89,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 69,243 | $89,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 4,969 | $89,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 26,669 | $89,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 9,199 | $89,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 1,803 | $89,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 1,471 | $88,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 26,606 | $88,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 4,816 | $88,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 3,862 | $88,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 2,401 | $88,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 3,623 | $88,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 7,471 | $87,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 7,250 | $87,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 49,726 | $87,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 8,725 | $87,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 3,968 | $87,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 5,431 | $87,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 8,100 | $87,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 14,450 | $87,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 12,467 | $86,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 1,752 | $86,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 547 | $86,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 9,039 | $86,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 2,067 | $86,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 1,155 | $85,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 3,123 | $85,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 4,102 | $85,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 1,251 | $85,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 3,213 | $85,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 3,122 | $85,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 2,916 | $85,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 23,093 | $85,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 2,456 | $84,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 2,745 | $84,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 8,001 | $84,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 5,970 | $84,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 2,347 | $84,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 8,237 | $84,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 3,647 | $84,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 5,538 | $84,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,473 | $84,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 2,665 | $84,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 1,400 | $84,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 3,689 | $84,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 1,000 | $83,000 | thousands by filing date | put |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 10,639 | $83,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 9,354 | $83,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 2,397 | $83,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 4,972 | $82,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 2,698 | $82,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 2,877 | $82,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 1,020 | $82,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 2,431 | $81,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 3,515 | $81,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 2,408 | $81,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 11,207 | $81,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 3,413 | $81,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 3,861 | $81,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 3,734 | $81,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 75,000 | $81,000 | thousands by filing date | principal |
| REVLON INC | 761525609 | OPT | 2,907 | $81,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 4,317 | $81,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 3,345 | $80,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 4,343 | $80,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 2,701 | $80,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 3,300 | $79,000 | thousands by filing date | put |
| SIERRA BANCORP | 82620P102 | COM | 2,892 | $79,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 1,447 | $79,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 8,592 | $79,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 3,131 | $79,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 14,345 | $79,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 6,959 | $79,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 4,741 | $79,000 | thousands by filing date | |
| INNOSPEC INC | 45768S105 | COM | 1,201 | $78,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 6,940 | $78,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 9,994 | $78,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 1,392 | $78,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 3,897 | $78,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 16,935 | $78,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 31,223 | $78,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 5,101 | $78,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 2,540 | $78,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 1,860 | $78,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 6,071 | $78,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 5,409 | $78,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 1,867 | $77,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 10,775 | $77,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 2,885 | $77,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 1,862 | $76,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 2,203 | $76,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 1,866 | $76,000 | thousands by filing date | |
| INFINITY PROPERTY & CASUALTY | 45665Q103 | COMMON STOCK | 792 | $76,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 2,769 | $76,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 3,543 | $76,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 5,805 | $76,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 1,569 | $76,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 10,842 | $76,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 2,585 | $75,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 8,091 | $75,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 1,721 | $75,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 5,196 | $75,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 3,713 | $75,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 2,697 | $75,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 28,995 | $75,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 2,997 | $75,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 5,736 | $75,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,503 | $75,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 2,004 | $74,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 2,651 | $74,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 2,510 | $74,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 33,822 | $74,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 6,263 | $74,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D150 | VELOCITYSHS SHRT | 1,469 | $74,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 1,000 | $73,000 | thousands by filing date | put |
| Waste Management, Inc. | 94106L109 | COM | 1,000 | $73,000 | thousands by filing date | call |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 1,995 | $73,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 13,000 | $73,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 946 | $73,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 7,292 | $73,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 5,898 | $73,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 6,307 | $73,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 11,384 | $73,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 8,360 | $73,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 17,618 | $73,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 1,920 | $73,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 1,832 | $73,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 3,208 | $73,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 2,651 | $73,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 1,000 | $72,000 | thousands by filing date | put |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 6,622 | $72,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 4,900 | $72,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 5,162 | $72,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 4,541 | $72,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 11,819 | $72,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 40,397 | $72,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 2,675 | $72,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 23,370 | $72,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 20,000 | $71,000 | thousands by filing date | put |
| COMMVAULT SYS INC COM | 204166102 | Stock | 1,393 | $71,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 10,235 | $71,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 666 | $71,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 2,777 | $71,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 1,703 | $71,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,643 | $71,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 17,124 | $71,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 5,771 | $71,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 105,100 | $71,000 | thousands by filing date | principal |
| Q2 HLDGS INC COM | 74736L109 | Stock | 2,020 | $70,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 7,556 | $70,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 50,269 | $70,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 1,400 | $70,000 | thousands by filing date | put |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 10,654 | $70,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 1,000 | $69,000 | thousands by filing date | put |
| SHILOH INDUSTRIES INC | 824543102 | COM | 5,029 | $69,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 932 | $69,000 | thousands by filing date | |
| Call - MTB $73.86 Exp 12/23/2018 | 55261F112 | Warrants | 855 | $69,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 5,069 | $69,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 2,788 | $69,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 110,856 | $69,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 500 | $68,000 | thousands by filing date | put |
| RE MAX HLDGS INC | 75524W108 | CL A | 1,133 | $68,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 1,952 | $68,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 2,963 | $68,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 4,034 | $68,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 864 | $68,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 109,593 | $68,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 1,393 | $68,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 4,514 | $68,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 3,477 | $68,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F577 | GEN DRUGS ETF | 3,000 | $68,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D373 | VELOCITY SHS 3X | 3,238 | $68,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 955 | $68,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 2,112 | $67,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 1,500 | $67,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 1,622 | $67,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 1,428 | $67,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 3,303 | $67,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 6,387 | $67,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 5,357 | $66,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 7,035 | $66,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 1,446 | $66,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 6,948 | $66,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 4,798 | $66,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 3,600 | $66,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 4,524 | $66,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 10,195 | $66,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 10,967 | $66,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 5,000 | $66,000 | thousands by filing date | call |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 1,548 | $65,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 2,499 | $65,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 2,775 | $65,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 2,013 | $65,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 13,651 | $65,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 1,166 | $65,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 2,674 | $65,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 1,629 | $65,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 2,354 | $65,000 | thousands by filing date | |
| PROSHARES TR | 74347B466 | ULTRA JR MNRS NW | 1,013 | $65,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 1,700 | $64,000 | thousands by filing date | call |
| YUM BRANDS INC COM | 988498101 | Stock | 1,000 | $64,000 | thousands by filing date | put |
| GDL FD | 361570104 | COM SH BEN IT | 6,509 | $64,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 2,572 | $64,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 1,100 | $64,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 5,085 | $64,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 1,188 | $64,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K141 | DAILY JR GOLD MI | 4,322 | $64,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 2,071 | $64,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 2,713 | $64,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 700 | $63,000 | thousands by filing date | put |
| INVITAE CORP | 46185L103 | COM | 5,638 | $63,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 2,818 | $63,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 2,171 | $63,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 7,998 | $63,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 2,422 | $63,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 3,511 | $63,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 2,482 | $63,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 14,261 | $63,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,597 | $63,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 75,000 | $63,000 | thousands by filing date | principal |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 6,210 | $63,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 11,154 | $62,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 2,515 | $62,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 6,549 | $62,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 2,439 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 2,808 | $62,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 11,405 | $62,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 2,899 | $62,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 1,773 | $62,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 7,462 | $62,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P403 | RUSS2000 3X LG | 326 | $62,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 29,959 | $62,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 935 | $61,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 537 | $61,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 1,514 | $61,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 8,387 | $61,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 37,193 | $61,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 11,434 | $61,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 3,122 | $61,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 4,124 | $61,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 17,626 | $61,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K125 | DAILY S&P OIL | 3,807 | $61,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 2,090 | $61,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 3,631 | $61,000 | thousands by filing date | |
| ISHARES EDGE U.S. FIXED INCOME BALANCED RISK ETF | 46431W846 | ETF | 608 | $61,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 3,593 | $60,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 1,000 | $60,000 | thousands by filing date | put |
| V2X INC | 92242T101 | COM | 2,666 | $60,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 5,242 | $60,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 1,328 | $60,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 3,203 | $60,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 5,348 | $60,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 12,514 | $60,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 6,600 | $60,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 1,113 | $60,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 1,900 | $60,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 2,498 | $59,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,856 | $59,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 800 | $59,000 | thousands by filing date | put |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,925 | $59,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 2,396 | $59,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 2,088 | $59,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 1,760 | $59,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 7,300 | $59,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 3,296 | $59,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 6,339 | $59,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 1,495 | $59,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 2,371 | $59,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 2,363 | $59,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 3,061 | $59,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 1,816 | $59,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 2,178 | $59,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 2,412 | $59,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 2,694 | $58,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 800 | $58,000 | thousands by filing date | call |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 1,602 | $58,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 2,033 | $58,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,826 | $58,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 2,730 | $58,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 1,270 | $58,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 19,346 | $58,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 6,110 | $58,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 1,149 | $58,000 | thousands by filing date | |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 1,339 | $58,000 | thousands by filing date | |
| PROSHARES SP 500 DIVIDEND ARISTOCRATS ETF | 74347B482 | ETF | 1,374 | $58,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 3,314 | $58,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 890 | $58,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 9,970 | $57,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 2,389 | $57,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 500 | $57,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 2,377 | $57,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 4,290 | $57,000 | thousands by filing date | |
| O'SHARES FTSE ASIA PACIFIC QUALITY DIVIDEND ETF | 351680822 | ETF | 2,077 | $57,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 3,191 | $56,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 1,000 | $56,000 | thousands by filing date | put |
| WSFS FINL CORP | 929328102 | COM | 1,208 | $56,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 6,965 | $56,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 2,410 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 2,314 | $56,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 2,812 | $56,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,451 | $56,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 4,290 | $56,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 2,148 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 1,319 | $56,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 4,686 | $56,000 | thousands by filing date | |
| PROSHARES TR II | 74347W239 | ULTRA VIX ETF | 3,487 | $56,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 4,004 | $56,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 4,170 | $56,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 1,044 | $56,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 2,008 | $56,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 1,139 | $56,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 300 | $55,000 | thousands by filing date | put |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 11,234 | $55,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 1,000 | $55,000 | thousands by filing date | put |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 55,000 | $55,000 | thousands by filing date | principal |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 38,021 | $55,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 2,727 | $55,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 10,361 | $55,000 | thousands by filing date | |
| PARKWAY INC COM | 70156Q107 | Stock | 2,755 | $55,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 700 | $54,000 | thousands by filing date | put |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 1,000 | $54,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 2,500 | $54,000 | thousands by filing date | call |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 835 | $54,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 1,833 | $54,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 4,674 | $54,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 2,410 | $54,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 5,984 | $54,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 3,442 | $54,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 16,503 | $54,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 640 | $54,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 2,205 | $54,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 41,149 | $54,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K554 | DAILY JR GOLD MI | 8,399 | $54,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 5,264 | $54,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 11,414 | $54,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG NATURAL GAS | 74347W296 | ETF | 4,411 | $54,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 1,887 | $53,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 1,672 | $53,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 1,899 | $53,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 9,938 | $53,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 2,365 | $53,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 9,667 | $53,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 3,044 | $53,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 1,673 | $53,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H203 | COM NEW | 1,289 | $53,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 5,962 | $53,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 14,518 | $53,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 7,061 | $53,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 3,073 | $53,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 1,167 | $53,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 2,216 | $53,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 1,521 | $53,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 12,822 | $53,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC NEW | 29365M505 | Common Stock | 9,213 | $53,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 2,806 | $53,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 3,460 | $53,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 2,503 | $52,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 19,483 | $52,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 1,377 | $52,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 2,992 | $52,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,240 | $52,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-004863 | superseded | 2017-05-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-17-010864 | this filing | 2017-11-14 | acceptance time not in the bulk data set |