13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 7,779 holding rows worth $216,194,183,000.
- Accession
- 0000950123-17-010967
- 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 Q3 2017
A combination report, 13,216 entries on the cover page, a total value of $216,194,183,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $216,194,251,000 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 |
|---|---|---|---|---|---|---|
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 3,324 | $77,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 1,378 | $77,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 3,193 | $77,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 2,930 | $77,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 8,888 | $77,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 179 | $76,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 34,221 | $76,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,913 | $76,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 4,199 | $76,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 11,840 | $76,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 2,334 | $76,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 8,517 | $76,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 4,217 | $75,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 1,314 | $75,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 1,968 | $75,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 3,001 | $75,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 2,400 | $75,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 2,188 | $75,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 4,291 | $75,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 5,000 | $75,000 | thousands by filing date | put |
| VISTA OUTDOOR INC | 928377100 | COM | 3,255 | $75,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 1,775 | $75,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 5,982 | $75,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 3,960 | $74,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 3,415 | $74,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 996 | $74,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 11,480 | $74,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 60,000 | $74,000 | thousands by filing date | principal |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 1,813 | $74,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 25,621 | $74,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 24,500 | $74,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 1,743 | $73,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 2,581 | $73,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 2,365 | $73,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 7,956 | $73,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 5,463 | $73,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 877 | $73,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 1,694 | $73,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 56,344 | $73,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M126 | GUGGENHEM 2026 | 3,680 | $73,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 7,086 | $73,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 1,616 | $72,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 4,012 | $72,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,936 | $72,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,186 | $72,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 2,663 | $72,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 5,839 | $72,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 3,629 | $72,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 11,245 | $71,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 4,059 | $71,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 10,754 | $71,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 2,644 | $71,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 20,077 | $71,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 7,524 | $71,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 11,460 | $71,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 1,215 | $71,000 | thousands by filing date | |
| BEBE STORES INC COM NEW | 075571208 | Common Stock | 13,851 | $71,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 2,826 | $71,000 | thousands by filing date | |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 2,310 | $70,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 2,405 | $70,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 1,906 | $70,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 6,074 | $70,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 5,250 | $70,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 2,305 | $70,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 3,425 | $70,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 2,451 | $70,000 | thousands by filing date | |
| ALLIANCE MMA INC | 018626101 | COM | 31,855 | $70,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 5,100 | $69,000 | thousands by filing date | call |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 13,880 | $69,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 9,520 | $69,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 2,820 | $69,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 5,120 | $69,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 2,078 | $69,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 2,572 | $69,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 4,000 | $69,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 2,609 | $69,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 2,812 | $69,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 1,499 | $69,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 5,033 | $69,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 2,697 | $69,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 3,002 | $68,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 9,387 | $68,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 27,813 | $68,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 3,323 | $68,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 4,643 | $68,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 2,240 | $68,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 1,000 | $67,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 1,908 | $67,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 1,348 | $67,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 11,912 | $67,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 10,916 | $67,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,604 | $67,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 45 | $67,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 3,418 | $67,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 2,966 | $67,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 1,508 | $67,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 6,598 | $67,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 2,527 | $67,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 2,896 | $67,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E877 | DLY JR GOLD 3X | 1,191 | $67,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 993 | $67,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 9,600 | $66,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 2,348 | $66,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 2,624 | $66,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 9,701 | $66,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 3,239 | $66,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 2,211 | $66,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 28,111 | $66,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 1,917 | $66,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 15,481 | $66,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 2,752 | $66,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 15,100 | $66,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 3,207 | $66,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,819 | $65,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 2,557 | $65,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 6,816 | $65,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 3,255 | $65,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 3,585 | $65,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 1,244 | $65,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 810 | $65,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 2,732 | $65,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 990 | $64,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 14,244 | $64,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 2,334 | $64,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 2,696 | $64,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 4,159 | $64,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 1,733 | $64,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505830 | REX VOLMAX SHORT | 1,918 | $64,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 1,104 | $63,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 17,542 | $63,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 2,534 | $63,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 8,159 | $63,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 1,552 | $63,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 5,260 | $63,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 5,618 | $63,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 87,000 | $63,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 8,000 | $62,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 2,533 | $62,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 1,760 | $62,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 7,757 | $62,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 54,269 | $62,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 6,460 | $62,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 3,532 | $62,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 78,000 | $62,000 | thousands by filing date | principal |
| NANTKWEST INC | 63016Q102 | COM | 11,377 | $62,000 | thousands by filing date | |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 4,232 | $61,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 3,448 | $61,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 2,133 | $61,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,272 | $61,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 4,169 | $61,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 9,307 | $61,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 3,223 | $61,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,566 | $61,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 2,808 | $61,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 2,048 | $61,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 3,466 | $61,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y826 | MEIDELL TCT AD | 1,909 | $61,000 | thousands by filing date | |
| PROSHARES TR II | 74347W163 | ULTRA VIX SHORT | 2,980 | $61,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 2,853 | $60,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 753 | $60,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 3,964 | $60,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 2,210 | $60,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 3,879 | $60,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 172,926 | $60,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 3,565 | $60,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 5,034 | $60,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 19,484 | $60,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 4,323 | $60,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 3,177 | $60,000 | thousands by filing date | |
| PROSHARES TR | 74347B417 | K1 FRE CRD OIL | 3,038 | $60,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 3,789 | $60,000 | thousands by filing date | |
| REALITY | 75605A603 | SHS ETF TR DIVCON DIV ETF | 2,650 | $60,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 1,000 | $59,000 | thousands by filing date | put |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 4,805 | $59,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 8,228 | $59,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 2,202 | $59,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 1,081 | $59,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 661 | $59,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 1,703 | $59,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 3,782 | $59,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 1,264 | $59,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 3,710 | $58,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 5,219 | $58,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 1,335 | $58,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 2,002 | $58,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 1,149 | $58,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 2,525 | $58,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 2,391 | $58,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 12,339 | $58,000 | thousands by filing date | |
| PROSHARES SP 500 DIVIDEND ARISTOCRATS ETF | 74347B482 | ETF | 1,407 | $58,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,410 | $58,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 2,453 | $58,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 3,805 | $58,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 42,540 | $58,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 6,935 | $57,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 1,359 | $57,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 690 | $57,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 9,950 | $57,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 1,749 | $57,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 1,631 | $57,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 1,035 | $57,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,294 | $57,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H591 | CMN | 2,200 | $57,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 3,980 | $57,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 15,677 | $57,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 4,381 | $57,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 756 | $57,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,754 | $57,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 3,180 | $57,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 5,792 | $56,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 13,971 | $56,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 1,464 | $56,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 1,833 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 1,204 | $56,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 21,277 | $56,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 17,573 | $56,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 168 | $56,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 9,226 | $56,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 34,000 | $56,000 | thousands by filing date | principal |
| CEMPRA INC | 15130J109 | COM | 17,101 | $56,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 9,243 | $56,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 6,436 | $56,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 1,953 | $55,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 7,004 | $55,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 2,353 | $55,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 2,754 | $55,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 3,101 | $55,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 8,580 | $55,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 55,000 | $55,000 | thousands by filing date | principal |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 5,847 | $55,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 2,258 | $55,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 7,348 | $55,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 2,090 | $55,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 2,488 | $55,000 | thousands by filing date | |
| PROSHARES TR | 74347B730 | ULSHRT TECH NEW | 2,793 | $55,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M864 | LBT VEN COM B NE | 958 | $55,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 3,911 | $54,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 1,037 | $54,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 3,856 | $54,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X172 | US HGH YLD CORP | 1,064 | $54,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 2,139 | $54,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 2,350 | $54,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 3,561 | $54,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 2,598 | $54,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 5,719 | $54,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 41,880 | $54,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 2,225 | $54,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P403 | RUSS2000 3X LG | 327 | $54,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 2,147 | $54,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 1,218 | $54,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 310 | $54,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 18,850 | $54,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 2,592 | $53,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 1,692 | $53,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 1,716 | $53,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 737 | $53,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 2,321 | $53,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,253 | $53,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 29,549 | $53,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 6,913 | $53,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 1,507 | $53,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 1,890 | $53,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 1,899 | $52,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,146 | $52,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 2,181 | $52,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 28,355 | $52,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 3,005 | $52,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 1,301 | $52,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 726 | $52,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 3,386 | $52,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 3,678 | $52,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 35,020 | $52,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 3,944 | $51,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 11,898 | $51,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 8,185 | $51,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 2,194 | $51,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 2,035 | $51,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 1,425 | $51,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,871 | $51,000 | thousands by filing date | |
| BCI | 26923J503 | ETF | 2,057 | $51,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 2,005 | $51,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 2,743 | $51,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 850 | $51,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF T | 73935B862 | VAR RAT INV GR | 2,045 | $51,000 | thousands by filing date | |
| PROSHARES TR II | 74347W221 | ULTRAPRO 3X CR | 2,048 | $51,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 1,909 | $51,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 5,230 | $50,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 300 | $50,000 | thousands by filing date | call |
| HECLA MNG CO | 422704106 | COM | 10,000 | $50,000 | thousands by filing date | put |
| HECLA MNG CO | 422704106 | COM | 10,000 | $50,000 | thousands by filing date | call |
| FIRST INTERNET BANCORP | 320557101 | COM | 1,556 | $50,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 6,871 | $50,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 2,895 | $50,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 1,136 | $50,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 1,663 | $50,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 2,613 | $50,000 | thousands by filing date | |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 1,732 | $50,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 1,380 | $50,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 3,326 | $50,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 2,734 | $50,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 2,761 | $50,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 4,577 | $50,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 3,149 | $50,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 2,145 | $50,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 4,825 | $49,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 69,000 | $49,000 | thousands by filing date | principal |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 1,997 | $49,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 4,862 | $49,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 894 | $49,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 49,000 | $49,000 | thousands by filing date | principal |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 3,235 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 4,565 | $49,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,419 | $49,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 3,908 | $49,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 1,686 | $49,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 14,513 | $49,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 873 | $49,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 1,457 | $48,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 3,119 | $48,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,718 | $48,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 8,231 | $48,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 3,527 | $48,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 10,631 | $48,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 3,219 | $48,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 6,276 | $48,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 22,095 | $48,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,724 | $48,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 11,607 | $48,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 2,505 | $48,000 | thousands by filing date | |
| ETFS TR | 26923J883 | BBG STRGY K 1 | 1,940 | $48,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 1,735 | $47,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 8,250 | $47,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 1,381 | $47,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,303 | $47,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 1,000 | $47,000 | thousands by filing date | put |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 3,355 | $47,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 5,686 | $47,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 1,553 | $47,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 4,992 | $47,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 2,508 | $47,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 2,450 | $47,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 2,806 | $47,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 3,207 | $47,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 48,000 | $47,000 | thousands by filing date | principal |
| STATE NATIONAL. | 85711T305 | Common Stock | 2,233 | $47,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 400 | $46,000 | thousands by filing date | put |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 1,031 | $46,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 12,300 | $46,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 1,627 | $46,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 1,269 | $46,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 2,273 | $46,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 2,705 | $46,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 2,286 | $46,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 2,928 | $46,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 18,932 | $46,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 2,441 | $46,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 3,483 | $46,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 4,229 | $46,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 127 | $46,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 690 | $46,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 2,250 | $46,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 1,571 | $46,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 900 | $45,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 1,511 | $45,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 3,077 | $45,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 1,085 | $45,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 1,756 | $45,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 15,178 | $45,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 3,828 | $45,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 890 | $45,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 1,923 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E836 | DLY SEMICNDTR 3X | 2,121 | $45,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 2,914 | $45,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 300 | $44,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,597 | $44,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 1,474 | $44,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 1,952 | $44,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 1,392 | $44,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 1,973 | $44,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 2,449 | $44,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,536 | $44,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 64,000 | $44,000 | thousands by filing date | principal |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 812 | $44,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 8,832 | $44,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 807 | $44,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,545 | $44,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 1,601 | $44,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 2,832 | $44,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,562 | $44,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K760 | TECH BEAR 3X SHS | 4,877 | $44,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,610 | $43,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 2,190 | $43,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 1,622 | $43,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 1,467 | $43,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 30,000 | $43,000 | thousands by filing date | principal |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 2,344 | $43,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 2,800 | $43,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 5,221 | $43,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 8,273 | $43,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 1,772 | $43,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 2,374 | $43,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 1,777 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 1,120 | $43,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 17,597 | $43,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 1,456 | $43,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 1,200 | $43,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 736 | $43,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 500 | $42,000 | thousands by filing date | put |
| HEARTLAND EXPRESS INC | 422347104 | COM | 1,666 | $42,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 3,559 | $42,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 2,423 | $42,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 5,062 | $42,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 2,429 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 390 | $42,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 7,300 | $42,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 3,039 | $42,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 6,936 | $42,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,255 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 1,191 | $42,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 2,600 | $42,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 980 | $42,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 8,557 | $42,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 1,788 | $42,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 2,492 | $42,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 3,122 | $42,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 1,006 | $42,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 1,849 | $42,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 663 | $42,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,997 | $41,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 1,105 | $41,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,030 | $41,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 2,392 | $41,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 598 | $41,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 774 | $41,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,283 | $41,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 3,967 | $41,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 8,480 | $41,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 4,700 | $41,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 70,907 | $41,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 12,758 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 829 | $41,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 2,421 | $41,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 1,999 | $41,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 3,138 | $41,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 3,020 | $41,000 | thousands by filing date | |
| ETF MANAGER GROUP COMMODITY | 26923H101 | SIT RISING RTE | 1,780 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 3,902 | $41,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T332 | NT BCOMCL 36 | 1,328 | $41,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 800 | $40,000 | thousands by filing date | call |
| CADIZ INC | 127537207 | COM NEW | 3,148 | $40,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 769 | $40,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 1,747 | $40,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 4,259 | $40,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 1,807 | $40,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 1,390 | $40,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,239 | $40,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 10,765 | $40,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 934 | $40,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 932 | $40,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 3,162 | $40,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 10,129 | $40,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 3,558 | $40,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 2,316 | $40,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 1,171 | $40,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 1,714 | $40,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 4,546 | $40,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 3,117 | $40,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 107,982 | $40,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X420 | GLBL HGD SMLCP | 1,584 | $40,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 3,893 | $40,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 1,000 | $39,000 | thousands by filing date | put |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 2,244 | $39,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 2,505 | $39,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 4,100 | $39,000 | thousands by filing date | call |
| CANADIAN SOLAR INC | 136635109 | COM | 2,287 | $39,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 725 | $39,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 3,000 | $39,000 | thousands by filing date | call |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 9,308 | $39,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 5,870 | $39,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 4,218 | $39,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,502 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 2,410 | $39,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 26,380 | $39,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 1,825 | $39,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G871 | VIRTUS CUMBRLAND | 1,520 | $39,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 3,115 | $39,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,369 | $38,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 3,610 | $38,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,104 | $38,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,637 | $38,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 7,180 | $38,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,950 | $38,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 3,036 | $38,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 5,566 | $38,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E711 | CMN | 1,368 | $38,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,037 | $38,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,511 | $38,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,084 | $38,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 2,090 | $38,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 1,191 | $38,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-010967 | this filing | 2017-11-14 | acceptance time not in the bulk data set |