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 |
|---|---|---|---|---|---|---|
| THAI FUND INC | 882904105 | CMN | 859 | $7,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 291 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 855 | $7,000 | thousands by filing date | |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 22,945 | $7,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 6,044 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X179 | ULT MSCIMEX CAPP | 428 | $7,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 2,767 | $7,000 | thousands by filing date | |
| URANIUM RES INC | 916901705 | COM | 4,772 | $7,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 1,500 | $7,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 1,844 | $7,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 979 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 285 | $7,000 | thousands by filing date | |
| MABVAX THERAPEUTICS HLDGS INC COM NEW | 55414P504 | COM | 5,144 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E752 | DLY MSCI MX 3X | 251 | $7,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 5,854 | $7,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 2,838 | $7,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G871 | VIRTUS CUMBRLAND | 270 | $7,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 3,856 | $7,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 2,635 | $7,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 12,533 | $7,000 | thousands by filing date | |
| TEARLAB CORP | 878193200 | COM | 4,320 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y608 | GURU ACTS ETF | 475 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A867 | MASTER INC ETF | 406 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B599 | HDG FTSE JAPAN | 228 | $7,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U308 | HEALTH FITNESS | 250 | $7,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 200 | $6,000 | thousands by filing date | call |
| PROPETRO HLDG CORP | 74347M108 | COM | 452 | $6,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 574 | $6,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 200 | $6,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 162 | $6,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 2,000 | $6,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,669 | $6,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 100 | $6,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 128 | $6,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 455 | $6,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 997 | $6,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2,413 | $6,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H658 | INSPIRE GBL HOPE | 232 | $6,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 504 | $6,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 3,292 | $6,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 250 | $6,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 2,718 | $6,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 569 | $6,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 146 | $6,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 2,795 | $6,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 1,721 | $6,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 5,369 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 248 | $6,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 1,900 | $6,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 800 | $6,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 2,574 | $6,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 3,184 | $6,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 8,000 | $6,000 | thousands by filing date | principal |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 4,446 | $6,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 5,000 | $6,000 | thousands by filing date | principal |
| AMYRIS INC | 03236M200 | COM NEW | 1,923 | $6,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 500 | $6,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 2,858 | $6,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 338 | $6,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 3,508 | $6,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 200 | $6,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 4,462 | $6,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 9,066 | $6,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 6,000 | $6,000 | thousands by filing date | principal |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 775 | $6,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 14,589 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 126 | $6,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 2,917 | $6,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 2,439 | $6,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 226 | $6,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $6,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740P262 | IPTH AGRIC ETN | 200 | $6,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 2,425 | $6,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 10,866 | $6,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 6,753 | $6,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 5,066 | $6,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 2,240 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y651 | NORTH SQUA MCKE | 60 | $6,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 206 | $6,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 590 | $6,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 4,014 | $6,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 1,620 | $6,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784101 | SPONSORED ADR | 739 | $6,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 2,790 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A186 | ULTRPRO SHRT NEW | 450 | $6,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 675 | $6,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 818 | $6,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,000 | $6,000 | thousands by filing date | principal |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 219 | $6,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 164 | $6,000 | thousands by filing date | |
| Medovex Corp | 58504H101 | COM | 6,823 | $6,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 5,025 | $6,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP II | 31810G109 | COM | 600 | $6,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D168 | VELOCITYSHS TAIL | 300 | $6,000 | thousands by filing date | |
| WISDOMTREE U.S. EXPORT AND MULTINATIONAL FUND | 97717X453 | ETF | 200 | $6,000 | thousands by filing date | |
| M III ACQUISITION CORP | 55378T104 | COM | 600 | $6,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F395 | TREAS HEDGED HIG | 249 | $6,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 3,770 | $5,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 300 | $5,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 190 | $5,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 158 | $5,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 615 | $5,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,193 | $5,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 400 | $5,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 1,108 | $5,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 400 | $5,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 125 | $5,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 204 | $5,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 122 | $5,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 282 | $5,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 194 | $5,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 304 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 352 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 217 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 170 | $5,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 200 | $5,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 1,673 | $5,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 1,500 | $5,000 | thousands by filing date | |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 507 | $5,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 1,248 | $5,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,195 | $5,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 135 | $5,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 652 | $5,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 735 | $5,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 1,200 | $5,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 173 | $5,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 2,627 | $5,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 3,000 | $5,000 | thousands by filing date | principal |
| GLOBAL BROKERAGE INC | 37891B109 | COM | 2,383 | $5,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 4,290 | $5,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 1,453 | $5,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 209 | $5,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| QUANTUM CORP | 747906501 | COM | 675 | $5,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 8,074 | $5,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 3,188 | $5,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 4,130 | $5,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 399 | $5,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 3,150 | $5,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 3,195 | $5,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 977 | $5,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 405 | $5,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 2,786 | $5,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 367 | $5,000 | thousands by filing date | |
| Call - ZION $36.27 Exp 11/14/2018 | 989701131 | Warrants | 500 | $5,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 510 | $5,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 6,093 | $5,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 7,152 | $5,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 5,360 | $5,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 3,596 | $5,000 | thousands by filing date | |
| TOR MINERALS INTL INC | 890878309 | COM NEW | 591 | $5,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 1,898 | $5,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 300 | $5,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 2,457 | $5,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 112 | $5,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 969 | $5,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 8,202 | $5,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 1,089 | $5,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 195 | $5,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 3,841 | $5,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 1,141 | $5,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 1,456 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 154 | $5,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 200 | $5,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 283 | $5,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,000 | $5,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 1,883 | $5,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,363 | $5,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 151 | $5,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 500 | $5,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A102 | CL A | 500 | $5,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A307 | COM PAR | 1,162 | $5,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | G0726L125 | Stock | 500 | $5,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 2,356 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 250 | $5,000 | thousands by filing date | |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 4,271 | $5,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 4,128 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 200 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 320 | $5,000 | thousands by filing date | |
| CHINA RECYCLING ENERGY CORP | 168913200 | COM NEW | 3,524 | $5,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 3,010 | $5,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 7,974 | $5,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W107 | CL A | 500 | $5,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 4,000 | $5,000 | thousands by filing date | principal |
| GUGGENHEIM S&P 100 EQUAL WEIGHT ETF | 78355W478 | ETF | 171 | $5,000 | thousands by filing date | |
| WISDOMTREE WESTERN ASSET UNCONSTRAINED BOND FUND | 97717X479 | ETF | 93 | $5,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 2,000 | $5,000 | thousands by filing date | principal |
| ETF MANAGERS TR | 26924G821 | SPIRITED ETFMG | 185 | $5,000 | thousands by filing date | |
| STRATEGY SHS | 86280R308 | ACTIVE ALTS | 200 | $5,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 6,667 | $5,000 | thousands by filing date | |
| CONYERS PK ACQUISITION | 212894109 | CL A COM | 450 | $5,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 100 | $4,000 | thousands by filing date | call |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 324 | $4,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 100 | $4,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 8,009 | $4,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 100 | $4,000 | thousands by filing date | put |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 65 | $4,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 400 | $4,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,215 | $4,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 176 | $4,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 271 | $4,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 150 | $4,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 257 | $4,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 660 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 70 | $4,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 223 | $4,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 575 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 92 | $4,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 140 | $4,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 3,000 | $4,000 | thousands by filing date | principal |
| MECHEL PREF SPON ADR | 583840509 | COM | 3,400 | $4,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 467 | $4,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,046 | $4,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 429 | $4,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 601 | $4,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 104 | $4,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 2,925 | $4,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 474 | $4,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 1,060 | $4,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 150 | $4,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 3,010 | $4,000 | thousands by filing date | |
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| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 2,241 | $4,000 | thousands by filing date | |
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| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 683 | $4,000 | thousands by filing date | |
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| CITIZENS FIRST CORP | 17462Q107 | COM | 203 | $4,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 352 | $4,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 1,129 | $4,000 | thousands by filing date | |
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| VASCULAR BIOGENICS LTD | M96883109 | COM | 1,000 | $4,000 | thousands by filing date | |
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| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 2,617 | $4,000 | thousands by filing date | |
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| LOMBARD MED INC | G55598109 | COM | 7,091 | $4,000 | thousands by filing date | |
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| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 1,809 | $4,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 1,895 | $4,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 2,846 | $4,000 | thousands by filing date | |
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| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 3,000 | $4,000 | thousands by filing date | principal |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 16,505 | $4,000 | thousands by filing date | |
| MONSTER DIGITAL INC COM PAR NEW | 61174L501 | Stock | 9,129 | $4,000 | thousands by filing date | |
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| AMEDICA CORP COM PAR | 023435209 | Stock | 9,407 | $4,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 10,565 | $4,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 2,671 | $4,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 6,200 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 57 | $3,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 49 | $3,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 68 | $3,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 115 | $3,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 100 | $3,000 | thousands by filing date | call |
| CRA INTL INC | 12618T105 | COM | 88 | $3,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 2,584 | $3,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 100 | $3,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 100 | $3,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,661 | $3,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 6,180 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $3,000 | thousands by filing date | principal |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,000 | $3,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 87 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 100 | $3,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 1,352 | $3,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,335 | $3,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 259 | $3,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 1,301 | $3,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 545 | $3,000 | thousands by filing date | |
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| ASTROTECH CORP | 046484101 | COMMON STOCK | 3,038 | $3,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 100 | $3,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 154 | $3,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 91 | $3,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 600 | $3,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 7,134 | $3,000 | thousands by filing date | |
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| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 601 | $3,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 178 | $3,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 2,470 | $3,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| ISRAMCO INC | 465141406 | COM | 23 | $3,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 804 | $3,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 525 | $3,000 | thousands by filing date | |
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| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 13,624 | $3,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 3,771 | $3,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 1,712 | $3,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 595 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 158 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 258 | $3,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 5,016 | $3,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 4,671 | $3,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 865 | $3,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 64 | $3,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 852 | $3,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y503 | SHS NEW | 6,424 | $3,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 630 | $3,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 150 | $3,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 214 | $3,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 956 | $3,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 183 | $3,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 835 | $3,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 1,208 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D365 | VELOCITY SHS SHO | 126 | $3,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 3,624 | $3,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 1,055 | $3,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 366 | $3,000 | thousands by filing date | |
| SABAN CAP ACQUISITION CORP | 78516C114 | *W EXP 09/21/202 | 2,300 | $3,000 | thousands by filing date | |
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| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 148 | $3,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,827 | $3,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385204 | UNIT 12/31/2020 | 234 | $3,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 2,304 | $3,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 7,505 | $3,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L113 | *W EXP 01/21/202 | 7,438 | $3,000 | thousands by filing date | |
| FQF TR AGFIQ | 351680806 | HEDGED DIV | 101 | $3,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 160 | $3,000 | thousands by filing date | |
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| INPIXON COM | 45790J107 | Stock | 5,056 | $3,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W107 | COM | 300 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 240 | $3,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 6,000 | $3,000 | thousands by filing date | |
| ENVISION HEALTHCARE CORP | 29414D209 | PFD CNV 5.25% A1 | 29 | $3,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 10,207 | $3,000 | thousands by filing date | |
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| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 5,856 | $3,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 568 | $2,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 53 | $2,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 100 | $2,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 508 | $2,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 59 | $2,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 949 | $2,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 106 | $2,000 | thousands by filing date | |
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| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 48 | $2,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 30 | $2,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 135 | $2,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 300 | $2,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 161 | $2,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 296 | $2,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 142 | $2,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 3,006 | $2,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 645 | $2,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 67 | $2,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 233 | $2,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 60 | $2,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 717 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 108 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 80 | $2,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 500 | $2,000 | thousands by filing date | |
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| KOSS CORP | 500692108 | COM | 1,081 | $2,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 90 | $2,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 104 | $2,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 3,800 | $2,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 115 | $2,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 486 | $2,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 400 | $2,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,040 | $2,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 199 | $2,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 771 | $2,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 165 | $2,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 2,157 | $2,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 60 | $2,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 100 | $2,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,008 | $2,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 2,513 | $2,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 173 | $2,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 4 | $2,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 3,730 | $2,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 66 | $2,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 100 | $2,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 71 | $2,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 250 | $2,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 33,000 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 33 | $2,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 196 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 35 | $2,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 8,174 | $2,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 1,489 | $2,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 1,263 | $2,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 2,066 | $2,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 185 | $2,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 2,048 | $2,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 4,775 | $2,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 1,751 | $2,000 | thousands by filing date | |
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| ADVAXIS INC | 007624208 | COM NEW | 300 | $2,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 249 | $2,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 1,134 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 55 | $2,000 | thousands by filing date | |
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| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 104,259 | $2,000 | thousands by filing date | |
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| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 1,272 | $2,000 | thousands by filing date | |
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| TANTECH HLDGS LTD | G8675X107 | COM | 1,034 | $2,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T456 | ETN LKD 34 | 111 | $2,000 | thousands by filing date | |
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| SOLENO THERAPEUTICS INC | 834203101 | COM | 4,343 | $2,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 646 | $2,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 5,064 | $2,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 387 | $2,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 391 | $2,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 2,044 | $2,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 100 | $2,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 1,885 | $2,000 | thousands by filing date | |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 3,870 | $2,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F138 | *W EXP 04/20/202 | 3,260 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| PERSHING GOLD CORP | 715302204 | COM NEW | 578 | $2,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 10,900 | $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 |
| VICAL INC | 925602203 | COM NEW | 875 | $2,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 1,342 | $2,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L208 | EMRG MKT DIV ETF | 72 | $2,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 254 | $2,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 1,458 | $2,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 1,188 | $2,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 1,236 | $2,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 2,000 | $2,000 | thousands by filing date | principal |
| OPGEN INC | 68373L109 | COM | 3,220 | $2,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 14,089 | $2,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 1,150 | $2,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 970 | $2,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 1,950 | $2,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 500 | $2,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 100 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051796 | XTRACK MSCI MEX | 106 | $2,000 | thousands by filing date | |
| M III ACQUISITION CORP | 55378T203 | UNIT 99/99/9999T | 180 | $2,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P120 | RIGHT 09/01/2017 | 4,600 | $2,000 | thousands by filing date | |
| Soleno Therapeutics Inc Wt S E | 834203119 | W | 9,297 | $2,000 | thousands by filing date | |
| RENNOVA HEALTH INC | 759757123 | *W EXP 06/30/202 | 29,541 | $2,000 | thousands by filing date | |
| CONYERS PK ACQUISITION | 212894117 | *W EXP 07/20/202 | 590 | $2,000 | thousands by filing date | |
| AXAR ACQUISITION CORP | 05455L110 | *W EXP 12/31/202 | 26,557 | $2,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G608 | TUTTLE TAC MAN | 99 | $2,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 24 | $1,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 74 | $1,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 30 | $1,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 1,993 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 288 | $1,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 1,000 | $1,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 57 | $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 | |
| HACKETT GROUP INC | 404609109 | COM | 34 | $1,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 32 | $1,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 83 | $1,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 66 | $1,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 390 | $1,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 96 | $1,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 48 | $1,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 202 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 33 | $1,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 442 | $1,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 392 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 218 | $1,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 63 | $1,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 685 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 36 | $1,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 361 | $1,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 40 | $1,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 30 | $1,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 43 | $1,000 | 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 |