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 |
|---|---|---|---|---|---|---|
| BEYONDSPRING INC | G10830100 | SHS | 23 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 33 | $1,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 426 | $1,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $1,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 179 | $1,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 100 | $1,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 380 | $1,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 115 | $1,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 45 | $1,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 228 | $1,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 158 | $1,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 210 | $1,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 1,500 | $1,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 2,678 | $1,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 224 | $1,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 20 | $1,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 139 | $1,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 285 | $1,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 28 | $1,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 140 | $1,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 100 | $1,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 2,000 | $1,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 49 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 335 | $1,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 205 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 79 | $1,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 6,672 | $1,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 55 | $1,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 1,332 | $1,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 44 | $1,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 4,575 | $1,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 328 | $1,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 4,418 | $1,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 46 | $1,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 30 | $1,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 159 | $1,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 503 | $1,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 233 | $1,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 1,162 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 20 | $1,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 182 | $1,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 41 | $1,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 1,100 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 40 | $1,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 30 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A582 | ULTRAPRO FINLS | 16 | $1,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 900 | $1,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 37 | $1,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 346 | $1,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 1,193 | $1,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 254 | $1,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 224 | $1,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 752 | $1,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N303 | COM PAR | 209 | $1,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 901 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 48 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A804 | COM PAR | 2,051 | $1,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358400 | COM PAR NEW | 1,114 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 27 | $1,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 2,212 | $1,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 64 | $1,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 180 | $1,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 131 | $1,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 300 | $1,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 179 | $1,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 128 | $1,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 292 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B417 | K1 FRE CRD OIL | 37 | $1,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 130 | $1,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 425 | $1,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 30 | $1,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 35 | $1,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 4,350 | $1,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 378 | $1,000 | thousands by filing date | |
| IMMURON LTD | Q4867H223 | *W EXP 06/08/202 | 600 | $1,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 1,100 | $1,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 83 | $1,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 190 | $1,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 443 | $1,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 2,581 | $1,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 500 | $1,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 253 | $1,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 48 | $1,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC | 68232V116 | *W EXP 07/11/202 | 1,491 | $1,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 1,727 | $1,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P111 | *W EXP 05/17/202 | 1,550 | $1,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 864 | $1,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 19 | $1,000 | thousands by filing date | |
| FRONTEO INC | 35905J100 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 405 | $1,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 492 | $1,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B102 | COM | 100 | $1,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B128 | RIGHT 99/99/9999 | 2,900 | $1,000 | thousands by filing date | |
| LINIU TECHNOLOGY GROUP | G54971109 | SHS | 1,561 | $1,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 2,941 | $1,000 | thousands by filing date | |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 344 | $1,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 283 | $1,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V127 | *W EXP 02/11/202 | 8,960 | $1,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C120 | UNIT 99/99/9999 | 99 | $1,000 | thousands by filing date | |
| MERIDIAN WASTE SOLUTIONS INC | 58985L118 | *W EXP 02/10/202 | 5,153 | $1,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789134 | RIGHT 03/12/2018 | 4,788 | $1,000 | thousands by filing date | |
| ATLANTIC ALLIANCE PARTNER CO | G04897107 | SHS | 75 | $1,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 115 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 134 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FULGENT GENETICS INC | 359664109 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENERGY FUELS INC | 292671708 | COM NEW | 54 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 64 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VICOR CORP | 925815102 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| A10 NETWORKS INC | 002121101 | COM | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAVARA INC | 805111101 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERICEL CORP | 92346J108 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TECHTARGET INC | 87874R100 | COM | 41 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUINSTREET INC | 74874Q100 | COM | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACNB CORP | 000868109 | COMMON STOCK | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 132 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 145 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GAIA INC NEW | 36269P104 | CL A | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Gilat Satellite Network | M51474118 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADWIND INC | 11161T207 | CMN | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 118 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 680 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUNA INNOVATIONS INC | 550351100 | COM | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 53 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 1,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEADRILL ORD | G7945E105 | COM | 1,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GULF IS FABRICATION INC | 402307102 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLEN BURNIE BANCORP | 377407101 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XCEL BRANDS INC | 98400M101 | COM NEW | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEONODE INC | 64051M402 | COM NEW | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRIMERO MNG CORP | 74164W106 | COM | 611 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANK MUTUAL CORP | 063750103 | COM | 41 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 194 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IPASS INC | 46261V108 | COM | 111 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 189 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVISTAR INTL CORP | 638901306 | PFD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 3,134 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739H420 | IPATH AS GLF CUR | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LDN BRH | 25154H467 | PS CMDTY SH ETN | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LDN BRH | 25154H541 | PSHS AGRI SHR38 | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| United Community Bancorp | 90984R101 | Common Stock | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHMITT INDS INC ORE | 806870200 | COM | 133 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNASIL CORP AMER | 268102100 | COM | 161 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETRACS CMCI INDUST MTLS TR | 902641752 | ETP | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739H453 | FUND | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 337 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 54 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 395 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD INC | 044104107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELCATH SYS INC | 24661P500 | COM PAR | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROBOT MED INC | 59503A105 | COM | 54 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PFENEX INC | 717071104 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZAFGEN INC | 98885E103 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 86 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNLOGIC | 60470J103 | Stock | 179 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENDRA LIFE SCIENCES INC | 29273B112 | *W EXP 05/08/202 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 245 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEMTREX INC | 15130G113 | *W EXP 12/02/202 | 127 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PAVMED INC | 70387R114 | *W EXP 01/29/202 | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLIGENIX INC | 834223117 | *W EXP 11/14/202 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIM COML TR CORP | 125525105 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 323 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEANERGY MARITIME HLDGS CORP | Y73760145 | *W EXP 11/10/202 | 71 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 189 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A127 | *W EXP 07/07/202 | 3,124 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROSETTA GENOMICS | M82183209 | Equities | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 232 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BENITEC BIOPHARMA LTD | 082053117 | *W EXP 08/14/202 | 385 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 2,738 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUROMETRIX INC | 641255195 | *W EXP 05/29/202 | 1,480 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUROMETRIX INC | 641255708 | COM PAR | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F120 | *W EXP 08/20/201 | 570 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODERN MEDIA ACQUISITION | 60765P129 | RIGHT 99/99/9999 | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JENSYN ACQUISITION CORP | 47632B110 | *W EXP 03/07/202 | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 956 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATOSSA GENETICS INC | 04962H209 | COM NEW | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPHERE 3D CORP NEW | 84841L100 | COM | 2,009 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORM HLDGS CORP COM | 34634E102 | Stock | 215 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 366 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 1,208 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 122 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CROSSROADS SYS INC COM PAR | 22765D407 | Stock | 227 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 664 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 4,050 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 303 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SILVER RUN ACQUISITION | 82812A103 | COM CL A | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARINGTON HILCO ACQUISITION | 06759V119 | RIGHT 08/11/2017 | 1,214 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVISTA HEALTHCARE PUB ACQ CO | G0726L109 | UNIT 99/99/9999 | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNOCELLULAR THERAPEUTICS | 452536121 | *W EXP 08/12/202 | 10,462 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ACTIVE MNG ETF T | 73935B813 | GROWTH MULTI AST | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XG TECHNOLOGY INC | 98372A127 | *W EXP 07/19/201 | 115 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740P312 | IPTH ENRGY ETN | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Forum Merger Corp | 34985B129 | RIGHT 06/01/2019 | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| M III ACQUISITION CORP | 55378T112 | *W EXP 10/10/202 | 323 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANDINA ACQUISITION CORP II | G0441P138 | *W EXP 11/23/202 | 170 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MONSTER DIGITAL INC | 61174L113 | *W EXP 99/99/999 | 707 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOULEVARD ACQUISITION | 10157Q110 | *W EXP 09/25/202 | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 339 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FQF TR | 351680814 | O SHS ASIA PAC | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 86 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMBIMATRIX CORPORATION | 20009T147 | *W EXP 03/18/202 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELTA TECHNOLOGY HLDGS LTD | G8477B113 | *W EXP 12/18/201 | 700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC SPL ACQUISITION CORP | G68588121 | *W EXP 10/20/202 | 850 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |