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 |
|---|---|---|---|---|---|---|
| BANK OF N T BUTTERFIELD & SO | G0772R208 | SHS NEW | 390 | $12,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,977 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 767 | $12,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,140 | $12,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,657 | $12,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 3,129 | $12,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 3,004 | $12,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,000 | $12,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 2,009 | $12,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 599 | $12,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 10,279 | $12,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 1,997 | $12,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 3,416 | $12,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,445 | $12,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 4,424 | $12,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 1,418 | $12,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 13,576 | $12,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 2,163 | $12,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 685 | $12,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,379 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 456 | $12,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 550 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 197 | $12,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 739 | $12,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 5,969 | $12,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 640 | $12,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 8,946 | $12,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 450 | $12,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 15,959 | $12,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 139,722 | $12,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 1,366 | $12,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 779 | $12,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 3,046 | $12,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 4,890 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K166 | DAILY EUROPEAN | 336 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 171 | $12,000 | thousands by filing date | |
| FRONTEO INC | 35905J100 | SPONSORED ADR | 983 | $12,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 6,474 | $12,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 545 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K182 | DLY EUR FIN 1X | 605 | $12,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 287 | $11,000 | thousands by filing date | |
| PACER FDS TR | 69374H881 | US CASH COWS 100 | 431 | $11,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 356 | $11,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 140 | $11,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 1,196 | $11,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 2,500 | $11,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 1,699 | $11,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 356 | $11,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 471 | $11,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 400 | $11,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 289 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 462 | $11,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,093 | $11,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 354 | $11,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,210 | $11,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 11,156 | $11,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 2,655 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 201 | $11,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 404 | $11,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 760 | $11,000 | thousands by filing date | call |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,403 | $11,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 307 | $11,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 1,398 | $11,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 420 | $11,000 | thousands by filing date | call |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 307 | $11,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 2,517 | $11,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 2,663 | $11,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 2,040 | $11,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 2,723 | $11,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,250 | $11,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,052 | $11,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 2,899 | $11,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 2,673 | $11,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,773 | $11,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 385 | $11,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 247 | $11,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 2,636 | $11,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 2,777 | $11,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 2,335 | $11,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 963 | $11,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 411 | $11,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 437 | $11,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 1,393 | $11,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 602 | $11,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 3,576 | $11,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 76 | $11,000 | thousands by filing date | |
| MABVAX THERAPEUTICS HLDGS INC COM NEW | 55414P504 | COM | 4,957 | $11,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 10,000 | $11,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 206 | $11,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 50,380 | $11,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 8,664 | $11,000 | thousands by filing date | |
| DEUTSCHE X-TRACKERS DOW JONES HEDGED INTERNATIONAL REAL ESTATE ETF | 233051689 | ETF | 491 | $11,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 1,408 | $11,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 300 | $10,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 622 | $10,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 339 | $10,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,275 | $10,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 5,300 | $10,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 789 | $10,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 1,057 | $10,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 582 | $10,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 723 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 294 | $10,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 1,000 | $10,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 645 | $10,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 745 | $10,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 978 | $10,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 709 | $10,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 445 | $10,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 482 | $10,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,000 | $10,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,402 | $10,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 698 | $10,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 11,835 | $10,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $10,000 | thousands by filing date | principal |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,359 | $10,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,315 | $10,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 1,809 | $10,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 400 | $10,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 5,795 | $10,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 9,696 | $10,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 3,273 | $10,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 6,009 | $10,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 10,000 | $10,000 | thousands by filing date | principal |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 492 | $10,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 114 | $10,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 939 | $10,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 5,000 | $10,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 763 | $10,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 545 | $10,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 6,966 | $10,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 399 | $10,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 259 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 591 | $10,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 3,500 | $10,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 8,444 | $10,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 8,165 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 200 | $10,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 12,338 | $10,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265308 | SHS NEW | 2,051 | $10,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 295 | $10,000 | thousands by filing date | |
| ACRE RLTY INVS INCORPORATED REIT | 00489F106 | REIT | 8,655 | $10,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 1,216 | $10,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 4,080 | $10,000 | thousands by filing date | |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 345 | $10,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 4,947 | $10,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D424 | 2XLEVE ETRACS WF | 469 | $10,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 1,350 | $10,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 2,918 | $10,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 1,427 | $10,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 200 | $10,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 3,315 | $10,000 | thousands by filing date | |
| ELKHORN S&P HIGH QUALITY PREFERRED ETF | 287711501 | ETF | 398 | $10,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G855 | ISECTR GRW ETF | 409 | $10,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 7,837 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y124 | DAILY RGNAL BEAR | 1,103 | $10,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 1,097 | $9,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 130 | $9,000 | thousands by filing date | put |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 398 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 415 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 160 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 471 | $9,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,056 | $9,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 1,860 | $9,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 187 | $9,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 425 | $9,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 259 | $9,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 4,501 | $9,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 255 | $9,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 3,705 | $9,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 1,829 | $9,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 173 | $9,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 2,300 | $9,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,221 | $9,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 91 | $9,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 545 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,334 | $9,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 260 | $9,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 2,703 | $9,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 571 | $9,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 1,082 | $9,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 2,303 | $9,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 620 | $9,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 5,010 | $9,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 2,858 | $9,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 1,187 | $9,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 500 | $9,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 380 | $9,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 230 | $9,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 3,854 | $9,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 1,104 | $9,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 1,389 | $9,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 719 | $9,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 733 | $9,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 16,500 | $9,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $9,000 | thousands by filing date | principal |
| ENTREE GOLD INC | 29383G100 | COM | 19,102 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 318 | $9,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 985 | $9,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $9,000 | thousands by filing date | principal |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 4,357 | $9,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 2,666 | $9,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 369 | $9,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 185 | $9,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 127 | $9,000 | thousands by filing date | |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 7,275 | $9,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 884 | $9,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 6,790 | $9,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 188 | $9,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 473 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X476 | SHT KBW REGBNK | 525 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 684 | $9,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 2,117 | $9,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 702 | $9,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,150 | $9,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 3,122 | $9,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 159 | $9,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 800 | $9,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q408 | COM PAR | 5,433 | $9,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 7,508 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 371 | $9,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 1,059 | $9,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 13,741 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 328 | $9,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 4,101 | $9,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 290 | $9,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 4,935 | $9,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 483 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 395 | $9,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 2,581 | $9,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L307 | US DIV COR ETF | 300 | $9,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 277 | $9,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 4,910 | $9,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 9,751 | $9,000 | thousands by filing date | |
| WISDOMTREE WESTERN ASSET UNCONSTRAINED BOND FUND | 97717X479 | ETF | 177 | $9,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P104 | SHS | 900 | $9,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 10,158 | $9,000 | thousands by filing date | |
| AUXILIO INC | 05334N204 | COM NEW | 1,790 | $9,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 811 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 164 | $8,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 271 | $8,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 277 | $8,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 1,855 | $8,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 657 | $8,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 967 | $8,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 260 | $8,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 1,969 | $8,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 453 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 150 | $8,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 746 | $8,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 306 | $8,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 470 | $8,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 2,646 | $8,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 500 | $8,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 217 | $8,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 441 | $8,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 1,398 | $8,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 231 | $8,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 384 | $8,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 6,927 | $8,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 369 | $8,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 589 | $8,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,002 | $8,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 1,530 | $8,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 25,339 | $8,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 672 | $8,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 2,559 | $8,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 291 | $8,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 270 | $8,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 1,733 | $8,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 7,394 | $8,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 4,380 | $8,000 | thousands by filing date | |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 5,859 | $8,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 2,595 | $8,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 3,530 | $8,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 6,316 | $8,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 5,690 | $8,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 801 | $8,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 3,209 | $8,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 2,186 | $8,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 1,094 | $8,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 876 | $8,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 338 | $8,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 571 | $8,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 1,588 | $8,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 1,600 | $8,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 4,749 | $8,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 6,700 | $8,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 445 | $8,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 1,050 | $8,000 | thousands by filing date | |
| FQF TR AGFIQ | 351680806 | HEDGED DIV | 300 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 500 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E109 | DAILY SLR BULL | 634 | $8,000 | thousands by filing date | |
| TEARLAB CORP | 878193200 | COM | 2,913 | $8,000 | thousands by filing date | |
| AOXIN TIANLI GROUP INC | G0404E112 | NEW SHS | 3,575 | $8,000 | thousands by filing date | |
| CONYERS PK ACQUISITION | 212894109 | CL A COM | 730 | $8,000 | thousands by filing date | |
| WECAST NETWORK INC | 94850Q106 | COM | 3,935 | $8,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 7,875 | $8,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,014 | $7,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 514 | $7,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,296 | $7,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 623 | $7,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,278 | $7,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 4,506 | $7,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 720 | $7,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 900 | $7,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 200 | $7,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,669 | $7,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 187 | $7,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 211 | $7,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 640 | $7,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 354 | $7,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 519 | $7,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 424 | $7,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 434 | $7,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 2,542 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 150 | $7,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 2,965 | $7,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 344 | $7,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 2,373 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 555 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 146 | $7,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 2,926 | $7,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 300 | $7,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 2,340 | $7,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 98 | $7,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 235 | $7,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 7,500 | $7,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 386 | $7,000 | thousands by filing date | |
| COMPUTER SCIENCES CORP | 205363104 | COM | 100 | $7,000 | thousands by filing date | put |
| COTT CORP QUE | 22163N106 | COM | 600 | $7,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 197 | $7,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 987 | $7,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 2,626 | $7,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 1,828 | $7,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 2,000 | $7,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,648 | $7,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 477 | $7,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 4,766 | $7,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 630 | $7,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 404 | $7,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 4,208 | $7,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 798 | $7,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 500 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 132 | $7,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 933 | $7,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 859 | $7,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 4,283 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 250 | $7,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 5,000 | $7,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 252 | $7,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 5,496 | $7,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 4,635 | $7,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 663 | $7,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,749 | $7,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 9,408 | $7,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 5,602 | $7,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 508 | $7,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 3,416 | $7,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 5,904 | $7,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 2,316 | $7,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 810 | $7,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 633 | $7,000 | thousands by filing date | |
| Functionx Inc New Com New | 36077T207 | COMMON | 11,610 | $7,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 6,537 | $7,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 115 | $7,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 612 | $7,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 2,129 | $7,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 115 | $7,000 | thousands by filing date | |
| DEUTSCHE X-TRACKERS S&P HEDGED GLOBAL INFRASTRUCTURE ETF | 233051671 | ETF | 290 | $7,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 12,955 | $7,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 198 | $7,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 9,218 | $7,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 7,790 | $7,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 4,276 | $7,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,854 | $6,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 148 | $6,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 200 | $6,000 | thousands by filing date | call |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 343 | $6,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 300 | $6,000 | thousands by filing date | put |
| PARAMOUNT GROUP INC | 69924R108 | COM | 364 | $6,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 2,500 | $6,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 162 | $6,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 759 | $6,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 722 | $6,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 1,535 | $6,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 322 | $6,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 186 | $6,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 293 | $6,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 400 | $6,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 242 | $6,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 849 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 201 | $6,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 184 | $6,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 1,542 | $6,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 2,000 | $6,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 379 | $6,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 212 | $6,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 702 | $6,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 200 | $6,000 | thousands by filing date | put |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 787 | $6,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,000 | $6,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 116 | $6,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 470 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 434 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 121 | $6,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 343 | $6,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 312 | $6,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 2,183 | $6,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 245 | $6,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 3,000 | $6,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 5,000 | $6,000 | thousands by filing date | principal |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 3,603 | $6,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 127 | $6,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 297 | $6,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 1,000 | $6,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 834 | $6,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 283 | $6,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 5,249 | $6,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 6,100 | $6,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 11,000 | $6,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 1,200 | $6,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 11,000 | $6,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 745 | $6,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 3,351 | $6,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 3,010 | $6,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 899 | $6,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 58 | $6,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 349 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 324 | $6,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 6,943 | $6,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 1,522 | $6,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 376 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P262 | IPTH AGRIC ETN | 200 | $6,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 4,681 | $6,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 5,881 | $6,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 3,496 | $6,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K102 | COM | 16,579 | $6,000 | thousands by filing date | |
| FIRST TRUST MULTI STRGY ALTER ETF | 73935B870 | ALT MULTI STRG | 260 | $6,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 828 | $6,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 293 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 170 | $6,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 832 | $6,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 419 | $6,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 3,284 | $6,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 633 | $6,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 2,848 | $6,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 7,904 | $6,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 207 | $6,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 5,000 | $6,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 1,115 | $6,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 176 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 297 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X350 | SOLACTIVE GERMNY | 113 | $6,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 2,819 | $6,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 21,482 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y355 | DLY DEV MKT BEAR | 317 | $6,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 2,270 | $6,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,000 | $6,000 | thousands by filing date | principal |
| HLS 2 12/1/43 | 421924BL4 | Bond 30/360P2 U | 5,000 | $6,000 | thousands by filing date | principal |
| JANUS VELOCITY TAIL RISK HEDGED LARGE CAP ETF | 47103U704 | ETF | 200 | $6,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789126 | SHS | 800 | $6,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 17,500 | $6,000 | thousands by filing date | |
| WISDOMTREE U.S. EXPORT AND MULTINATIONAL FUND | 97717X453 | ETF | 200 | $6,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 8,253 | $6,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F395 | TREAS HEDGED HIG | 254 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B599 | HDG FTSE JAPAN | 197 | $6,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,870 | $5,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 300 | $5,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 10,391 | $5,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 89 | $5,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 87 | $5,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 208 | $5,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 761 | $5,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 960 | $5,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 350 | $5,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 125 | $5,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 3,063 | $5,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 194 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 170 | $5,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 4,654 | $5,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 171 | $5,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 616 | $5,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 202 | $5,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 256 | $5,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 397 | $5,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 892 | $5,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 1,433 | $5,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 993 | $5,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 376 | $5,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 390 | $5,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 4,629 | $5,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 3,756 | $5,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 250 | $5,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 175 | $5,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 11,994 | $5,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 405 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 10,000 | $5,000 | thousands by filing date | principal |
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 |