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 |
|---|---|---|---|---|---|---|
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 1,322 | $5,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 4,252 | $5,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 11,714 | $5,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 451 | $5,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 706 | $5,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 665 | $5,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 4,743 | $5,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 296 | $5,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 617 | $5,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 320 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 334 | $5,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 5,149 | $5,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 2,018 | $5,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 149 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 141 | $5,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $5,000 | thousands by filing date | principal |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,287 | $5,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 242 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 134 | $5,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 2,528 | $5,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 370 | $5,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 5,000 | $5,000 | thousands by filing date | principal |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 200 | $5,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 400 | $5,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 4,297 | $5,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 1,000 | $5,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,000 | $5,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 547 | $5,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 1,842 | $5,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 4,541 | $5,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 1,534 | $5,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 725 | $5,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 787 | $5,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 4,000 | $5,000 | thousands by filing date | principal |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 397 | $5,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A102 | CL A | 500 | $5,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 9,675 | $5,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 226 | $5,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | G0726L125 | Stock | 500 | $5,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F138 | *W EXP 04/20/202 | 5,960 | $5,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,827 | $5,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 2,059 | $5,000 | thousands by filing date | |
| SPI ENERGY CO LTD NEW 2018 | 78470H109 | Common Stock | 4,079 | $5,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 1,220 | $5,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760137 | SHS NEW | 5,500 | $5,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 1,242 | $5,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 675 | $5,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H209 | COM NEW | 6,806 | $5,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 4,000 | $5,000 | thousands by filing date | principal |
| INPIXON COM | 45790J107 | Stock | 1,581 | $5,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 1,950 | $5,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 1,295 | $5,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 3,433 | $4,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 329 | $4,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 3,200 | $4,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 97 | $4,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 100 | $4,000 | thousands by filing date | call |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 161 | $4,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 201 | $4,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 1,419 | $4,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 1,500 | $4,000 | thousands by filing date | put |
| SUNRUN INC | 86771W105 | COM | 800 | $4,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 395 | $4,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 103 | $4,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 112 | $4,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 373 | $4,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 1,783 | $4,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 174 | $4,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 281 | $4,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 241 | $4,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 697 | $4,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 717 | $4,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 1,465 | $4,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 813 | $4,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 200 | $4,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 388 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 125 | $4,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 1,952 | $4,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 1,890 | $4,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 129 | $4,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 3,000 | $4,000 | thousands by filing date | principal |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 536 | $4,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 1,424 | $4,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 2,114 | $4,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 2,159 | $4,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 31,902 | $4,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 969 | $4,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 94 | $4,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 609 | $4,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 3,005 | $4,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 772 | $4,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 1,567 | $4,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 1,570 | $4,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 3,000 | $4,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 491 | $4,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 2,445 | $4,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 607 | $4,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 87 | $4,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 170 | $4,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 166 | $4,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 4,746 | $4,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 248 | $4,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 1,048 | $4,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 33 | $4,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 2,799 | $4,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 464 | $4,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 384 | $4,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 5,381 | $4,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 959 | $4,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 3,352 | $4,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 106 | $4,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 492 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A749 | USD COVERED BD | 39 | $4,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 2,363 | $4,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 300 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 215 | $4,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 74 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 408 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 51 | $4,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 425 | $4,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 453 | $4,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 171 | $4,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 6,984 | $4,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 500 | $4,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 1,608 | $4,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 1,363 | $4,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 195 | $4,000 | thousands by filing date | |
| Trump Media & Technology | 287711816 | COM | 152 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 176 | $4,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 500 | $4,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 561 | $4,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 4,000 | $4,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| TREVENA INC | 89532E109 | COM | 1,000 | $4,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,106 | $4,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 302 | $4,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 77 | $4,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 2,905 | $4,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 300 | $4,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 200 | $4,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 3,427 | $4,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 3,000 | $4,000 | thousands by filing date | principal |
| SHINECO INC COM NEW | 824567200 | Stock | 783 | $4,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 900 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 155 | $4,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| EDGE THERAPEUTICS INC | 279870109 | COM | 463 | $4,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 2,202 | $4,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 372 | $4,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 873 | $4,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 164 | $4,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y156 | SHS NEW 2016 | 3,338 | $4,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 402 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E208 | DAILY SLVR IDX | 151 | $4,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 62 | $3,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 2,190 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 100 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 66 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 130 | $3,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 109 | $3,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 312 | $3,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 154 | $3,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 329 | $3,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 292 | $3,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 113 | $3,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 328 | $3,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 262 | $3,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 160 | $3,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 282 | $3,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 790 | $3,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,067 | $3,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 587 | $3,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 134 | $3,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,118 | $3,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 383 | $3,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 113 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 130 | $3,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 783 | $3,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 1,070 | $3,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 254 | $3,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 1,450 | $3,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 1,013 | $3,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 59 | $3,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 707 | $3,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 169 | $3,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 850 | $3,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 1,037 | $3,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 1,043 | $3,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 72 | $3,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 2,633 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 90 | $3,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 315 | $3,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 225 | $3,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 108 | $3,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,816 | $3,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 586 | $3,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 104 | $3,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 88 | $3,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 489 | $3,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 3,000 | $3,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,661 | $3,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 3,970 | $3,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 413 | $3,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 2,358 | $3,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 256 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 572 | $3,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 74 | $3,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 1,750 | $3,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 106 | $3,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 683 | $3,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 85 | $3,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 1,131 | $3,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 2,000 | $3,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 185 | $3,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 7,297 | $3,000 | thousands by filing date | |
| TOR MINERALS INTL INC | 890878309 | COM NEW | 440 | $3,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 352 | $3,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 1,870 | $3,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 1,147 | $3,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 1,124 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A889 | GERMAN SOV/SUB | 98 | $3,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 438 | $3,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 935 | $3,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 5,048 | $3,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 839 | $3,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 217 | $3,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 782 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 111 | $3,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 1,189 | $3,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 1,213 | $3,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 792 | $3,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 501 | $3,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 1,105 | $3,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 1,189 | $3,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 426 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 195 | $3,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 100 | $3,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 849 | $3,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 904 | $3,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 300 | $3,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 1,533 | $3,000 | thousands by filing date | |
| SABAN CAP ACQUISITION CORP | 78516C114 | *W EXP 09/21/202 | 2,300 | $3,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 148 | $3,000 | thousands by filing date | |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 1,772 | $3,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 971 | $3,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 1,338 | $3,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 2,210 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 285 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D432 | ETRACS MNTLY PAY | 145 | $3,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 1,626 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L109 | DEV EX US ETF | 99 | $3,000 | thousands by filing date | |
| JMU LTD | 46647L105 | SPONSORED ADR | 1,258 | $3,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 5,452 | $3,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 753 | $3,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 3,000 | $3,000 | thousands by filing date | principal |
| POWERSHARES S&P 500 ENHANCED VALUE PORTFOLIO | 73936Q694 | ETF | 100 | $3,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 9,992 | $3,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 2,000 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G631 | MLTFACT UTILTS | 99 | $3,000 | thousands by filing date | |
| MERIDIAN WASTE SOLUTIONS INC | 58985L118 | *W EXP 02/10/202 | 5,153 | $3,000 | thousands by filing date | |
| ROOT9B HOLDINGS INC | 776650202 | COM NEW | 541 | $3,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G306 | BULLMARK LATAM S | 100 | $3,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 11,465 | $3,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G862 | PURE FDS HELTH | 114 | $3,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G300 | PUREFUNDS ISE BI | 113 | $3,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 100 | $2,000 | thousands by filing date | put |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 100 | $2,000 | thousands by filing date | call |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 70 | $2,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 203 | $2,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 100 | $2,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 129 | $2,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 808 | $2,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 83 | $2,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 250 | $2,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 121 | $2,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 75 | $2,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 86 | $2,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 56 | $2,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 66 | $2,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 182 | $2,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 262 | $2,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 156 | $2,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 149 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 100 | $2,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 186 | $2,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 1,000 | $2,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 3,885 | $2,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 389 | $2,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 200 | $2,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 93 | $2,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 40 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 80 | $2,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 61 | $2,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 67 | $2,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 174 | $2,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 158 | $2,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 130 | $2,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 6,713 | $2,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 1,080 | $2,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 206 | $2,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 237 | $2,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 619 | $2,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 100 | $2,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 1,600 | $2,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 500 | $2,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 391 | $2,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 548 | $2,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,331,546 | $2,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 1,235 | $2,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 493 | $2,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 121 | $2,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 8,075 | $2,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 2,084 | $2,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 726 | $2,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 342 | $2,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 175 | $2,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,638 | $2,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 2,907 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 38 | $2,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 279 | $2,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 441 | $2,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 2,000 | $2,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 63 | $2,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 93 | $2,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 100 | $2,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 1,351 | $2,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 70 | $2,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 2,500 | $2,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 2,007 | $2,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 111 | $2,000 | thousands by filing date | |
| ASSOCIATED BANC CORP | 045487113 | WTS | 300 | $2,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 5,214 | $2,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 249 | $2,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 2,600 | $2,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 317 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 64 | $2,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 73 | $2,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 960 | $2,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 567 | $2,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 1,508 | $2,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 1,833 | $2,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782U304 | COM NEW | 1,062 | $2,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 515 | $2,000 | thousands by filing date | |
| INSPIREMD INC | 45779A804 | COM PAR | 2,237 | $2,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 470 | $2,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 1,413 | $2,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 2,000 | $2,000 | thousands by filing date | principal |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 242 | $2,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 657 | $2,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 100 | $2,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 1,291 | $2,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 61 | $2,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 230 | $2,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 81 | $2,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 4,710 | $2,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 349 | $2,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 74 | $2,000 | thousands by filing date | |
| JANUS DETROIT STR TR OBESITY ETF | 47103U506 | CEF | 95 | $2,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 60 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 100 | $2,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 101 | $2,000 | thousands by filing date | |
| CHINA RECYCLING ENERGY CORP | 168913200 | COM NEW | 973 | $2,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 194 | $2,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 2,000 | $2,000 | thousands by filing date | principal |
| MELROSE BANCORP INC | 585553100 | COM | 126 | $2,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 2,000 | $2,000 | thousands by filing date | principal |
| LEGG MASON ETF INVESTMENT TR | 52468L208 | EMRG MKT DIV ETF | 72 | $2,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 1,000 | $2,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 2,373 | $2,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 2,000 | $2,000 | thousands by filing date | principal |
| INSPIRED ENTMT INC | 45782N116 | *W EXP 10/20/202 | 2,000 | $2,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 557 | $2,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR CONSUMER STAPLES ETF | 46435G615 | ETF | 98 | $2,000 | thousands by filing date | |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 513 | $2,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 4,967 | $2,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 59 | $2,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 1,811 | $2,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 1,000 | $2,000 | thousands by filing date | principal |
| DBX ETF TR | 233051796 | XTRACK MSCI MEX | 106 | $2,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P120 | RIGHT 09/01/2017 | 4,600 | $2,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 2,474 | $2,000 | thousands by filing date | |
| Boulevard Acquisition Corp II | 10157Q201 | CL A | 200 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B664 | ULTSHT OIL GAS | 190 | $2,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V305 | COM PAR | 1,304 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K497 | DLY CYB SEC BEAR | 100 | $2,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605208 | COM CL B | 74 | $2,000 | thousands by filing date | |
| MODSYS INTL LTD | M70378100 | SHS | 2,125 | $2,000 | thousands by filing date | |
| GENVEC INC | 37246C406 | COM PAR | 370 | $2,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 339 | $1,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 269 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 532 | $1,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 1,000 | $1,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 32 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 394 | $1,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 52 | $1,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 154 | $1,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 101 | $1,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 16 | $1,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 28 | $1,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 40 | $1,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 97 | $1,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 2,186 | $1,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 216 | $1,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 86 | $1,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 10 | $1,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 61 | $1,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 96 | $1,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 18 | $1,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 202 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 9 | $1,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 41 | $1,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 1,104 | $1,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 593 | $1,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 320 | $1,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 599 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 47 | $1,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 30 | $1,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 102 | $1,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 358 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 50 | $1,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 99 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 25 | $1,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 52 | $1,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 319 | $1,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 300 | $1,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 18 | $1,000 | thousands by filing date | |
| HARVEST NAT RES | 41754v202 | COM | 165 | $1,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 49 | $1,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 769 | $1,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 168 | $1,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 300 | $1,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 269 | $1,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 402 | $1,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 819 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 12 | $1,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 85 | $1,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 120 | $1,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 35 | $1,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $1,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 179 | $1,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 421 | $1,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 900 | $1,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 649 | $1,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 200 | $1,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 350 | $1,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 214 | $1,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 565 | $1,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 48 | $1,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 33 | $1,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 101 | $1,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 1,215 | $1,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 9,375 | $1,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 428 | $1,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 97 | $1,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 900 | $1,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 36 | $1,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 500 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 422 | $1,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 132 | $1,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 4 | $1,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 54 | $1,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 136 | $1,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 100 | $1,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 428 | $1,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 108 | $1,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 400 | $1,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 65 | $1,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 1,772 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 1,309 | $1,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 1,538 | $1,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 773 | $1,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 4,000 | $1,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 50 | $1,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 281 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D878 | EXCH NT LKD 20 | 39 | $1,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 30 | $1,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 2,299 | $1,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 1,128 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 316 | $1,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 4,261 | $1,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 233 | $1,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 50 | $1,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 3,168 | $1,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 495 | $1,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 30 | $1,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 1,600 | $1,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 835 | $1,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 46 | $1,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 61 | $1,000 | 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 |