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 |
|---|---|---|---|---|---|---|
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 38 | $52,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 8,200 | $52,000 | thousands by filing date | |
| FIRST POTOMAC RLTY TR | 33610F109 | COM | 5,034 | $52,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 2,675 | $52,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 12,237 | $52,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 2,650 | $52,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 6,915 | $52,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,754 | $52,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 30,600 | $52,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 30,859 | $52,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 4,240 | $52,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 1,225 | $51,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 2,673 | $51,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 1,176 | $51,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 5,372 | $51,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 11,579 | $51,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 1,215 | $51,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 2,781 | $51,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 3,389 | $51,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 1,033 | $51,000 | thousands by filing date | |
| WORLD GOLD TR | 98146B104 | SPDR GLD MINIS | 413 | $51,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 5,028 | $50,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 2,112 | $50,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 4,562 | $50,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 2,028 | $50,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 700 | $50,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 2,016 | $50,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 4,537 | $50,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 2,116 | $50,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 2,292 | $50,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 5,497 | $50,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 1,900 | $50,000 | thousands by filing date | |
| Nashville Area ETF | 53957P106 | NASHVILLE AREA E | 1,749 | $50,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 2,632 | $49,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 2,056 | $49,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 49,000 | $49,000 | thousands by filing date | principal |
| SANOFI | 80105N113 | COMMON STOCK-FO | 109,832 | $49,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 30,000 | $49,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 1,417 | $49,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 9,300 | $49,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 1,701 | $49,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 2,111 | $49,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 5,970 | $49,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 2,364 | $49,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 2,076 | $49,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL ROTN | 00400R866 | CEF | 2,003 | $49,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 788 | $49,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 800 | $48,000 | thousands by filing date | call |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 5,971 | $48,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 2,274 | $48,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 2,032 | $48,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 5,777 | $48,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 21,024 | $48,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 2,129 | $48,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 1,629 | $48,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,996 | $48,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 3,623 | $48,000 | thousands by filing date | |
| COLUMBIA INTERMEDIATE | 19761R703 | INTERMED MUN | 906 | $48,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 710 | $48,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 1,240 | $48,000 | thousands by filing date | |
| MULESOFT INC | 625207105 | CL A | 1,990 | $48,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 5,422 | $48,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 9,447 | $48,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 2,412 | $48,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 31,309 | $47,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 1,584 | $47,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 3,074 | $47,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 3,952 | $47,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 658 | $47,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 939 | $47,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 2,059 | $47,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 8,660 | $47,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 32,102 | $47,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 51,025 | $47,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 1,804 | $47,000 | thousands by filing date | |
| FIRSTCASH HOLDINGS INC. | 33767D105 | Common Stock | 957 | $47,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 300 | $46,000 | thousands by filing date | put |
| PG&E CORP COM | 69331C108 | Stock | 700 | $46,000 | thousands by filing date | put |
| TRINET GROUP INC COM | 896288107 | Stock | 1,594 | $46,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 3,359 | $46,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 17,789 | $46,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 773 | $46,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,545 | $46,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 2,077 | $46,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 2,601 | $46,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 9,863 | $46,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 3,738 | $46,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 53,000 | $46,000 | thousands by filing date | principal |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 1,158 | $46,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 2,390 | $46,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 3,520 | $46,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 18,000 | $46,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 1,145 | $45,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 2,007 | $45,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 6,059 | $45,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 928 | $45,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 83,816 | $45,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 16,097 | $45,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 2,035 | $45,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 6,478 | $45,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 3,341 | $45,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 2,132 | $45,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 2,593 | $45,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 6,084 | $44,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 1,232 | $44,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 5,000 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 613 | $44,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 8,670 | $44,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 16,266 | $44,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 1,279 | $44,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 2,552 | $44,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 2,696 | $44,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 3,997 | $44,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 11,045 | $44,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD CBOE | 33733E609 | S\&P.* | 1,763 | $44,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 6,567 | $44,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 2,415 | $44,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 11,203 | $44,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 6,678 | $44,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V806 | MFS SYS COR EQ | 659 | $44,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 127 | $44,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 41,945 | $44,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 690 | $44,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 500 | $43,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 740 | $43,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 3,662 | $43,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 5,252 | $43,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 3,044 | $43,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 5,915 | $43,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 3,380 | $43,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 988 | $43,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,520 | $43,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 3,260 | $43,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 1,753 | $43,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 3,152 | $43,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 621 | $43,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 4,350 | $43,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 50,000 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 1,116 | $43,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 2,576 | $43,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L201 | UNIT 07/29/2020 | 4,283 | $43,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 3,861 | $42,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 2,000 | $42,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 13,302 | $42,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 912 | $42,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 1,926 | $42,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 2,026 | $42,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 1,688 | $42,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 2,895 | $42,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 69,000 | $42,000 | thousands by filing date | principal |
| BARNWELL INDS INC | 068221100 | COM | 21,775 | $42,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 6,350 | $42,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,830 | $42,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 1,846 | $42,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 2,079 | $42,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 2,550 | $42,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 1,334 | $42,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 3,120 | $42,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P171 | IPTH ALUMN ETN | 1,564 | $42,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 1,141 | $42,000 | thousands by filing date | |
| REALITY | 75605A603 | SHS ETF TR DIVCON DIV ETF | 1,950 | $42,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 2,370 | $42,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 8,422 | $41,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 735 | $41,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 2,116 | $41,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 1,234 | $41,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 2,201 | $41,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 545 | $41,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 10,802 | $41,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 541 | $41,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 1,321 | $41,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 1,449 | $41,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 93,665 | $41,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 3,050 | $41,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 300 | $40,000 | thousands by filing date | put |
| ARCBEST CORP COM | 03937C105 | Stock | 1,537 | $40,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 2,528 | $40,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 1,901 | $40,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 7,289 | $40,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 2,366 | $40,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 1,422 | $40,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,707 | $40,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 7,544 | $40,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 2,212 | $40,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,040 | $40,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,567 | $40,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 2,031 | $40,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 4,183 | $40,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 714 | $40,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 5,026 | $40,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 2,378 | $40,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 2,295 | $39,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 300 | $39,000 | thousands by filing date | put |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 1,187 | $39,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 2,341 | $39,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,373 | $39,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 1,358 | $39,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,744 | $39,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 2,522 | $39,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 1,267 | $39,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,392 | $39,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 1,528 | $39,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 1,528 | $39,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 27,000 | $39,000 | thousands by filing date | principal |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 11,546 | $39,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 2,229 | $39,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 24,183 | $39,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y826 | MEIDELL TCT AD | 1,307 | $39,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 10,760 | $39,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 2,602 | $39,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 2,845 | $39,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 659 | $38,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 1,857 | $38,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 4,196 | $38,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 1,593 | $38,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 1,062 | $38,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 1,797 | $38,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153204 | COM NEW | 790 | $38,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 2,609 | $38,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 1,485 | $38,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,594 | $38,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 4,500 | $38,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 1,319 | $38,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 1,394 | $38,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 1,961 | $37,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 1,985 | $37,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 1,225 | $37,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 2,247 | $37,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 1,499 | $37,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 409 | $37,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,750 | $37,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 1,968 | $37,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 2,942 | $37,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 815 | $37,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 4,616 | $37,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 3,316 | $37,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 1,668 | $37,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 3,987 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K372 | DAILY HEALTHCARE | 1,310 | $37,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 82 | $36,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 1,185 | $36,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 829 | $36,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 6,850 | $36,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 2,914 | $36,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,260 | $36,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 6,765 | $36,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 783 | $36,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 48,974 | $36,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 814 | $36,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H483 | PS CMDT DS ETN | 755 | $36,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 2,278 | $36,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 1,993 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 1,532 | $36,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 3,614 | $35,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 812 | $35,000 | thousands by filing date | call |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 1,150 | $35,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 1,145 | $35,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,731 | $35,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 22,594 | $35,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 14,594 | $35,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 2,372 | $35,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 13,342 | $35,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 1,399 | $35,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 5,388 | $35,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 4,729 | $35,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 2,532 | $35,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 1,224 | $35,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 800 | $34,000 | thousands by filing date | put |
| CUTERA INC | 232109108 | COM | 1,617 | $34,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 630 | $34,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 6,427 | $34,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 3,579 | $34,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 3,661 | $34,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 3,274 | $34,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 6,000 | $34,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 500 | $33,000 | thousands by filing date | put |
| SPS COMM INC COM | 78463M107 | Stock | 564 | $33,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 3,455 | $33,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 742 | $33,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 1,492 | $33,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,567 | $33,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 500 | $33,000 | thousands by filing date | put |
| ATRICURE INC | 04963C209 | COM | 1,733 | $33,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,939 | $33,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 1,257 | $33,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 1,312 | $33,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,577 | $33,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 5,800 | $33,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 171 | $33,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 2,931 | $33,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 800 | $33,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 2,100 | $33,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 12,561 | $33,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 77 | $33,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 2,291 | $33,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 73,903 | $33,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 6,850 | $33,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 13,214 | $33,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 7,428 | $33,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 819 | $33,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 3,000 | $33,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 1,617 | $33,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 2,035 | $33,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 5,442 | $33,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,469 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY FTSE | 25490k836 | COM | 2,756 | $33,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 46,584 | $33,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 2,000 | $32,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 786 | $32,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 733 | $32,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 3,986 | $32,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 4,444 | $32,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 529 | $32,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 4,702 | $32,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 3,000 | $32,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 3,583 | $32,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 17,179 | $32,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 3,267 | $32,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,806 | $32,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 989 | $32,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 294 | $32,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 1,116 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347X518 | ULT MSCIMEX CAPP | 1,387 | $32,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 828 | $32,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 1,265 | $32,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 6,193 | $32,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 10,832 | $32,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,212 | $32,000 | thousands by filing date | |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 298 | $32,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 5,400 | $31,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 200 | $31,000 | thousands by filing date | put |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 2,080 | $31,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 1,708 | $31,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 804 | $31,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,181 | $31,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 645 | $31,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 654 | $31,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 1,340 | $31,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 3,071 | $31,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 5,059 | $31,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 1,385 | $31,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,633 | $31,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,184 | $31,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 7,203 | $31,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 871 | $31,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 16,345 | $31,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 3,401 | $31,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 760 | $31,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 1,465 | $31,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T332 | NT BCOMCL 36 | 1,000 | $31,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X186 | EURO STOXX 50 | 800 | $31,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G608 | TUTTLE TAC MAN | 1,381 | $31,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,000 | $30,000 | thousands by filing date | call |
| DOUGLAS EMMETT INC | 25960P109 | COM | 769 | $30,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 3,111 | $30,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 615 | $30,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 11,076 | $30,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 7,387 | $30,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 1,584 | $30,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 36,476 | $30,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 1,905 | $30,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 1,688 | $30,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 742 | $30,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 30,000 | $30,000 | thousands by filing date | principal |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,791 | $30,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 2,610 | $30,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 1,190 | $30,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 481 | $30,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 1,720 | $30,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 2,528 | $30,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 2,107 | $30,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 1,577 | $30,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 274 | $30,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 1,838 | $30,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 3,107 | $30,000 | thousands by filing date | |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 2,019 | $29,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 1,860 | $29,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 2,400 | $29,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 1,607 | $29,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,637 | $29,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,650 | $29,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 12,673 | $29,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 3,356 | $29,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 1,142 | $29,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 2,383 | $29,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 4,312 | $29,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 717 | $29,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 2,900 | $29,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 5,984 | $29,000 | thousands by filing date | |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 978 | $29,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 1,614 | $29,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 3,193 | $29,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 4,465 | $29,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 2,163 | $29,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 1,722 | $29,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,365 | $29,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 2,572 | $29,000 | thousands by filing date | |
| BARCLAYS BK PLC IPTH NAT GAS | 06740P239 | COM | 1,452 | $29,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P163 | IPTH SUGAR ETN | 1,288 | $29,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 2,034 | $29,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,847 | $29,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 977 | $29,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 579 | $29,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505855 | REX GL HD FTSE | 1,016 | $29,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 1,155 | $28,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 20,000 | $28,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 1,768 | $28,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 625 | $28,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 1,135 | $28,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 1,673 | $28,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 2,202 | $28,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,182 | $28,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 652 | $28,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 1,053 | $28,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,166 | $28,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 9,994 | $28,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 2,934 | $28,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 4,518 | $28,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 838 | $28,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 16,351 | $28,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 14,742 | $28,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 25,326 | $28,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 1,119 | $28,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K216 | DAILY S&P BEAR | 1,608 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347B730 | ULSHRT TECH NEW | 1,110 | $28,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 1,897 | $28,000 | thousands by filing date | |
| ADVANCEPIERRE FOODS HLDGS IN | 00782L107 | COM | 905 | $28,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 783 | $27,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 1,000 | $27,000 | thousands by filing date | put |
| MITEK SYS INC | 606710200 | COM NEW | 4,112 | $27,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 959 | $27,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 1,018 | $27,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 418 | $27,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 1,016 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 364 | $27,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,583 | $27,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,049 | $27,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 1,223 | $27,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 2,075 | $27,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 631 | $27,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 26,786 | $27,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 2,524 | $27,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 119,362 | $27,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 803 | $27,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,217 | $27,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 4,010 | $27,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 2,050 | $27,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 1,450 | $27,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 7,550 | $27,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 5,077 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K174 | DAILY GLD MINE | 1,040 | $27,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 11,741 | $26,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 785 | $26,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 300 | $26,000 | thousands by filing date | call |
| FIRST INTERNET BANCORP | 320557101 | COM | 885 | $26,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 1,327 | $26,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 798 | $26,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 1,214 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 1,300 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,855 | $26,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 1,046 | $26,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,549 | $26,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 9,894 | $26,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 330 | $26,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 19,000 | $26,000 | thousands by filing date | principal |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 2,453 | $26,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 815 | $26,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 1,076 | $26,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 655 | $26,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 708 | $26,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 3,102 | $26,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 9,228 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 2,936 | $26,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 4,001 | $26,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| NEFF CORP COM CL A | 640094207 | Stock | 1,328 | $26,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U101 | COM | 2,594 | $26,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 300 | $25,000 | thousands by filing date | call |
| CROCS INC COM | 227046109 | Stock | 3,481 | $25,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 40,814 | $25,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 5,315 | $25,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 6 | $25,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 1,177 | $25,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 994 | $25,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 783 | $25,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 4,110 | $25,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 5,600 | $25,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 1,021 | $25,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 714 | $25,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 723 | $25,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 1,775 | $25,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 37,000 | $25,000 | thousands by filing date | principal |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,421 | $25,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 5,823 | $25,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 6,568 | $25,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 662 | $25,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 937 | $25,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,065 | $25,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 51,857 | $25,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,400 | $25,000 | 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 |