13F-HR/A filed by UBS Group AG
UBS Group AG filed this 13F-HR/A for the quarter ended 2017-06-30, filed 2017-11-14, with 7,754 holding rows worth $193,228,198,000.
- Accession
- 0000950123-17-010878
- 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 Q2 2017
A combination report, amendment of type restatement, 12,817 entries on the cover page, a total value of $193,228,198,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $193,228,198,000 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 |
|---|---|---|---|---|---|---|
| ROSETTA RES INC COM | 777385105 | Stock | 1,813 | $15,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 3,098 | $15,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 1,087 | $15,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 780 | $15,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 3,221 | $15,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 7,261 | $15,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 5,120 | $15,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 1,762 | $15,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 55,260 | $15,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 2,110 | $15,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 2,278 | $15,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,132 | $15,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 8,943 | $15,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 805 | $15,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 3,836 | $15,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 335 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 433 | $15,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 1,318 | $15,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 5,591 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 664 | $15,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 6,518 | $15,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760137 | SHS NEW | 13,689 | $15,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B201 | UNIT 99/99/9999 | 1,409 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X210 | MSCI CHINA ETF | 680 | $15,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 1,464 | $15,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 6,485 | $15,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 5,129 | $15,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 7,679 | $15,000 | thousands by filing date | |
| USCF ETF TR | 90290T106 | STK SPLT IDX FD | 898 | $15,000 | thousands by filing date | |
| USCF ETF TR | 90290T205 | RESTAURNT LDRS | 831 | $15,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 1,500 | $14,000 | thousands by filing date | call |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,764 | $14,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 829 | $14,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 1,194 | $14,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 490 | $14,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 706 | $14,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 655 | $14,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 666 | $14,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,500 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 661 | $14,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 5,490 | $14,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 322 | $14,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 1,147 | $14,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 3,634 | $14,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 3,783 | $14,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 5,431 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 273 | $14,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 825 | $14,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 2,260 | $14,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 5,822 | $14,000 | thousands by filing date | |
| COBALT INTL ENERGY | 19075F304 | COM | 5,907 | $14,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 698 | $14,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 4,338 | $14,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 2,972 | $14,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 22,410 | $14,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 8,593 | $14,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 10,464 | $14,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 4,741 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 900 | $14,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 1,007 | $14,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 1,250 | $14,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 11,379 | $14,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 3,802 | $14,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 2,696 | $14,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 1,077 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 1,256 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 197 | $14,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 845 | $14,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 12,064 | $14,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 492 | $14,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,050 | $14,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 1,068 | $14,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 2,251 | $14,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 1,400 | $14,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 31,179 | $14,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 2,591 | $14,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 710 | $14,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 1,786 | $14,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 1,280 | $14,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 9,605 | $14,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 7,922 | $14,000 | thousands by filing date | |
| QIAGEN NV | N72482AA5 | DEBT 0.375% 3/1 | 11,000 | $14,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 470 | $14,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 5,380 | $14,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 881 | $14,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 1,900 | $14,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 631 | $14,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 7,511 | $14,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 719 | $14,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W123 | UNIT 03/22/2022 | 1,400 | $14,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 5,778 | $14,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 1,869 | $13,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 396 | $13,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 1,611 | $13,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 838 | $13,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 422 | $13,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 5,400 | $13,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,920 | $13,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 3,129 | $13,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,091 | $13,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,549 | $13,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 511 | $13,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 1,166 | $13,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 367 | $13,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 814 | $13,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 1,036 | $13,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 8,583 | $13,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 12,729 | $13,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 697 | $13,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 3,231 | $13,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 5,290 | $13,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 24,016 | $13,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,070 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 458 | $13,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 759 | $13,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,000 | $13,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 5,579 | $13,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 10,064 | $13,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 7,120 | $13,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 807 | $13,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 2,733 | $13,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 3,330 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 499 | $13,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D432 | ETRACS MNTLY PAY | 726 | $13,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 10,337 | $13,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H101 | COM | 3,956 | $13,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 13,000 | $13,000 | thousands by filing date | principal |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 203 | $13,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A202 | UNIT 99/99/9999 | 1,181 | $13,000 | thousands by filing date | |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 136 | $13,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G201 | SPONSORD ADR NEW | 5,969 | $13,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 28,648 | $13,000 | thousands by filing date | |
| WISDOMTREE STRONG DOLLAR EM | 97717X487 | ETP | 475 | $13,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 540 | $12,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 330 | $12,000 | thousands by filing date | call |
| CONMED CORP COM | 207410101 | Stock | 235 | $12,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 740 | $12,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 4,905 | $12,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 191 | $12,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 654 | $12,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 342 | $12,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 321 | $12,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 627 | $12,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,269 | $12,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 165 | $12,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 953 | $12,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 2,325 | $12,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,058 | $12,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 1,031 | $12,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 1,700 | $12,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 4,010 | $12,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 1,904 | $12,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,967 | $12,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 1,073 | $12,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 590 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 813 | $12,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 159 | $12,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 2,405 | $12,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 324 | $12,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 9,026 | $12,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 9,869 | $12,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 5,478 | $12,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 8,611 | $12,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 1,030 | $12,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 6,950 | $12,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $12,000 | thousands by filing date | principal |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 3,653 | $12,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 600 | $12,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 256 | $12,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,350 | $12,000 | thousands by filing date | |
| SEVCON INC | 81783K108 | COM | 907 | $12,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,848 | $12,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 300 | $12,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 5,022 | $12,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 4,937 | $12,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 15,303 | $12,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,919 | $12,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 1,556 | $12,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 800 | $12,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 2,119 | $12,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 9,327 | $12,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 9,479 | $12,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 1,007 | $12,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 1,690 | $12,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 17,468 | $12,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 4,152 | $12,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 3,666 | $12,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 480 | $12,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 3,736 | $12,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 4,901 | $12,000 | thousands by filing date | |
| GlassBridge Enterprises Inc. | 377185103 | COMMON | 3,042 | $12,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 2,567 | $12,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 7,321 | $12,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR INDUSTRIALS ETF | 46435G557 | ETF | 400 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 705 | $12,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 5,091 | $12,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 21,120 | $12,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 2,252 | $11,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 553 | $11,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 2,589 | $11,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 454 | $11,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 1,415 | $11,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 1,176 | $11,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 2,810 | $11,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 3,046 | $11,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 289 | $11,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,586 | $11,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,334 | $11,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 2,366 | $11,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 875 | $11,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,000 | $11,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 125 | $11,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 687 | $11,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $11,000 | thousands by filing date | principal |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 1,506 | $11,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 226 | $11,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,465 | $11,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 350 | $11,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 2,231 | $11,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 6,087 | $11,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 2,672 | $11,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 799 | $11,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 11,528 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 197 | $11,000 | thousands by filing date | |
| WOLVERINE BANCORP INC | 977880103 | COM | 286 | $11,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,229 | $11,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 3,547 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 364 | $11,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 3,850 | $11,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 2,808 | $11,000 | thousands by filing date | |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 11,606 | $11,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 13,199 | $11,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 597 | $11,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 15,067 | $11,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 13,249 | $11,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 3,995 | $11,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 2,489 | $11,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 599 | $11,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 2,769 | $11,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 438 | $11,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 1,929 | $11,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 2,329 | $11,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 2,180 | $11,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 8,672 | $11,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,505 | $11,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 179 | $11,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 827 | $11,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 550 | $11,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 5,417 | $11,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 5,393 | $11,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 2,091 | $11,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 1,124 | $11,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 2,183 | $11,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 6,583 | $11,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 13,658 | $11,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 10,000 | $11,000 | thousands by filing date | principal |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 13,535 | $11,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 605 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E208 | DAILY SLVR IDX | 374 | $11,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247206 | UNIT 99/99/9999 | 1,000 | $11,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 20,477 | $11,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 200 | $10,000 | thousands by filing date | put |
| AC IMMUNE SA | H00263105 | SHS | 1,157 | $10,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 442 | $10,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 3,333 | $10,000 | thousands by filing date | |
| NUVEEN ESG MID-CAP VALUE ETF | 67092P508 | ETF | 391 | $10,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 5,657 | $10,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 792 | $10,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 173 | $10,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,570 | $10,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 1,623 | $10,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 763 | $10,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 700 | $10,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 448 | $10,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 1,058 | $10,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1,558 | $10,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 342 | $10,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 897 | $10,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 647 | $10,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,200 | $10,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 1,207 | $10,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,816 | $10,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 340 | $10,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 309 | $10,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 2,608 | $10,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 270 | $10,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 6,380 | $10,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 564 | $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 |
| SHORETEL INC | 825211105 | COM | 1,797 | $10,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,019 | $10,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 8,456 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 467 | $10,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $10,000 | thousands by filing date | principal |
| CITIGROUP INC | 172967226 | WARRANT | 63,001 | $10,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 15,015 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 369 | $10,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 2,572 | $10,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 229 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 621 | $10,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 297 | $10,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 6,771 | $10,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 11,607 | $10,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 2,613 | $10,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 2,594 | $10,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,540 | $10,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,683 | $10,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 2,000 | $10,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 1,854 | $10,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 7,522 | $10,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 1,679 | $10,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 14,928 | $10,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U605 | ORGANICS ETF | 326 | $10,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 11,283 | $10,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 970 | $10,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 1,165 | $10,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 400 | $10,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,297 | $10,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 18,787 | $10,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 351 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 430 | $10,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 3,007 | $10,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G855 | ISECTR GRW ETF | 409 | $10,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 933 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K182 | DLY EUR FIN 1X | 605 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505848 | REX VOL LG VIX | 3,080 | $10,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 200 | $9,000 | thousands by filing date | put |
| WEIS MKTS INC COM | 948849104 | Stock | 186 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 142 | $9,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 771 | $9,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 586 | $9,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 500 | $9,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 1,700 | $9,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 380 | $9,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 1,231 | $9,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 1,766 | $9,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 746 | $9,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 3,669 | $9,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 649 | $9,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 937 | $9,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 6,562 | $9,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,351 | $9,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 238 | $9,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 6,759 | $9,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 406 | $9,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 4,005 | $9,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,000 | $9,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 329 | $9,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 100 | $9,000 | thousands by filing date | put |
| MMA Capital Management LLC | 55315D105 | COM | 380 | $9,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 6,907 | $9,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 2,213 | $9,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 5,727 | $9,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 363 | $9,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 981 | $9,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 1,588 | $9,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,923 | $9,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,753 | $9,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,072 | $9,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 561 | $9,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 2,481 | $9,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,110 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 318 | $9,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 128 | $9,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,835 | $9,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,751 | $9,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 360 | $9,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 462 | $9,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 4,188 | $9,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 219 | $9,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 6,251 | $9,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 7,925 | $9,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C200 | COM NEW | 2,867 | $9,000 | thousands by filing date | |
| BANRO CORP | 066800806 | COM NEW | 13,204 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 200 | $9,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 5,043 | $9,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 2,204 | $9,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 1,090 | $9,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 1,633 | $9,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 1,475 | $9,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 1,768 | $9,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 2,342 | $9,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 10,000 | $9,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 404 | $9,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 13,930 | $9,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 3,923 | $9,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L307 | US DIV COR ETF | 300 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 297 | $9,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 7,427 | $9,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM NEW | 759757602 | Stock | 24,328 | $9,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 4,431 | $9,000 | thousands by filing date | |
| WECAST NETWORK INC | 94850Q106 | COM | 4,810 | $9,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,530 | $8,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,382 | $8,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 476 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 450 | $8,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 541 | $8,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,081 | $8,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 286 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 86 | $8,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 1,474 | $8,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 3,688 | $8,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 73 | $8,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 309 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 555 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 165 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 148 | $8,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 5,445 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 285 | $8,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 500 | $8,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 342 | $8,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 2,465 | $8,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 2,000 | $8,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 512 | $8,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 314 | $8,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 1,355 | $8,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 7,500 | $8,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 1,275 | $8,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 1,079 | $8,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 3,414 | $8,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 3,694 | $8,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 560 | $8,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 3,498 | $8,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 8,484 | $8,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 1,914 | $8,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 1,287 | $8,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 5,001 | $8,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 406 | $8,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 21,873 | $8,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 18,069 | $8,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,082 | $8,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 910 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 300 | $8,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 19,194 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X476 | SHT KBW REGBNK | 525 | $8,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 1,154 | $8,000 | thousands by filing date | |
| ISHARES TR IBONDS DEC2023 | 46435G318 | IBONDS DEC2023 | 303 | $8,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 21,079 | $8,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 2,285 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 131 | $8,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 8,668 | $8,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 3,754 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 473 | $8,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 2,246 | $8,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 7,598 | $8,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 2,100 | $8,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 3,555 | $8,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 1,745 | $8,000 | thousands by filing date | |
| VANTAGE ENERGY ACQUISITION | 92211L113 | *W EXP 04/12/202 | 6,000 | $8,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,175 | $8,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 742 | $8,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 6,118 | $8,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 575 | $8,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 3,346 | $8,000 | thousands by filing date | |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 7,327 | $8,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612109 | SHS | 1,829 | $8,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 16,335 | $8,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 3,579 | $8,000 | thousands by filing date | |
| EnerJex Resources Inc | 292758406 | COM | 25,082 | $8,000 | thousands by filing date | |
| TapImmune Inc | 876033408 | COM | 2,013 | $8,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC COM NEW | 775431208 | Stock | 2,976 | $8,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 13200M102 | Stock | 30,476 | $8,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X204 | COM NEW | 2,492 | $8,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789126 | SHS | 800 | $8,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T606 | COM PAR | 5,664 | $8,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P104 | SHS | 800 | $8,000 | thousands by filing date | |
| AOXIN TIANLI GROUP INC | G0404E112 | NEW SHS | 4,006 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B664 | ULTSHT OIL GAS | 515 | $8,000 | thousands by filing date | |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 393 | $8,000 | thousands by filing date | |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 254 | $7,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 190 | $7,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 386 | $7,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 1,007 | $7,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 1,486 | $7,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 150 | $7,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 804 | $7,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 280 | $7,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 373 | $7,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 966 | $7,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 1,271 | $7,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,000 | $7,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 600 | $7,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 1,872 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 70 | $7,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 281 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 146 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 200 | $7,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 3,543 | $7,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 5,953 | $7,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 1,100 | $7,000 | thousands by filing date | |
| BCI | 26923J503 | ETF | 270 | $7,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 2,700 | $7,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 788 | $7,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 1,265 | $7,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 1,339 | $7,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 2,000 | $7,000 | thousands by filing date | principal |
| M B T FINANCIAL CORP | 578877102 | Stock | 684 | $7,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 739 | $7,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 2,605 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-007964 | superseded | 2017-08-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-17-010878 | this filing | 2017-11-14 | acceptance time not in the bulk data set |