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 |
|---|---|---|---|---|---|---|
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,056 | $38,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 6,381 | $38,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 10,900 | $38,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 2,208 | $38,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 4,233 | $38,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 15,342 | $38,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 2,085 | $38,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 1,509 | $38,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 1,557 | $38,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 11,764 | $38,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 1,177 | $38,000 | thousands by filing date | |
| BLACK HILLS CORP | 092113125 | UNIT 99/99/9999 | 500 | $38,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 4,220 | $38,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P320 | IPTH LIVESTK | 884 | $38,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 500 | $37,000 | thousands by filing date | put |
| EASTMAN KODAK CO | 277461406 | COM NEW | 4,981 | $37,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 4,549 | $37,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 14,646 | $37,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,654 | $37,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 1,717 | $37,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 1,148 | $37,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 2,678 | $37,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 1,665 | $37,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 950 | $37,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 519 | $37,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 1,733 | $37,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 46,825 | $37,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 30,926 | $37,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 3,698 | $37,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,027 | $36,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 2,987 | $36,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 2,362 | $36,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,581 | $36,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 2,364 | $36,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 4,414 | $36,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 1,034 | $36,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 3,131 | $36,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 15,728 | $36,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 14,219 | $36,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 3,224 | $36,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 2,823 | $36,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 37,884 | $36,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 846 | $36,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 1,451 | $36,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 1,125 | $36,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,885 | $35,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 2,482 | $35,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 1,563 | $35,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 500 | $35,000 | thousands by filing date | call |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,243 | $35,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 3,244 | $35,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 2,317 | $35,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 1,233 | $35,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 2,931 | $35,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 2,517 | $35,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 4,543 | $35,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,152 | $35,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,522 | $35,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 111,040 | $35,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 2,906 | $35,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 15,453 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 1,833 | $35,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 1,489 | $35,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 1,512 | $34,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 1,243 | $34,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 830 | $34,000 | thousands by filing date | call |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 772 | $34,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 1,386 | $34,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 2,186 | $34,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 1,404 | $34,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 2,500 | $34,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,802 | $34,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 1,200 | $34,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 2,468 | $34,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,263 | $34,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,537 | $34,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 1,002 | $34,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 2,003 | $34,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 8,293 | $34,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 1,292 | $34,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 1,333 | $34,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 1,252 | $34,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 4,962 | $34,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P163 | IPTH SUGAR ETN | 1,542 | $34,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 1,913 | $34,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 1,456 | $34,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 5,967 | $34,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 3,519 | $34,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,000 | $34,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 1,421 | $34,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K117 | DAILY NAT GAS RE | 1,189 | $34,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP II | 31810G208 | UNIT 99/99/9999 | 3,227 | $34,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 1,342 | $33,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 1,422 | $33,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 1,750 | $33,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 888 | $33,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 3,034 | $33,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 4,166 | $33,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 50,000 | $33,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 13,385 | $33,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 3,232 | $33,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 3,233 | $33,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 8,218 | $33,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 2,513 | $33,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 4,441 | $33,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 22,234 | $33,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 1,321 | $33,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 2,039 | $33,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 3,286 | $32,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 800 | $32,000 | thousands by filing date | put |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 1,440 | $32,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 14,663 | $32,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 500 | $32,000 | thousands by filing date | put |
| CALIX INC | 13100M509 | COM | 6,279 | $32,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 1,000 | $32,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,332 | $32,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 12,379 | $32,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 4,227 | $32,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 2,281 | $32,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 275 | $32,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 1,290 | $32,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 2,659 | $32,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 997 | $32,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E291 | VLCTYSHS 3X LNG | 1,918 | $32,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 6,323 | $32,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 6,768 | $32,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 890 | $32,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,721 | $32,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 5,460 | $32,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 7,479 | $31,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 1,400 | $31,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,905 | $31,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 696 | $31,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,482 | $31,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 443 | $31,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 1,265 | $31,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 1,224 | $31,000 | thousands by filing date | |
| COMCAST HOLDINGS CORP | 200300507 | ZONES CV2% PCS | 620 | $31,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 27,468 | $31,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 85,632 | $31,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 3,685 | $31,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 3,692 | $31,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 20,014 | $31,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 6,141 | $31,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 1,350 | $31,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 12,000 | $31,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U605 | ORGANICS ETF | 1,027 | $31,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 2,617 | $31,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D365 | VELOCITY SHS SHO | 1,865 | $31,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 1,282 | $31,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 271 | $31,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 1,112 | $31,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L201 | UNIT 07/29/2020 | 4,283 | $31,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D176 | VELOCITYSHS LONG | 1,102 | $31,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 688 | $30,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 3,669 | $30,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 1,687 | $30,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Corporate Bond ETF | 46435UAA9 | ETF | 1,225 | $30,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 3,281 | $30,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,509 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 673 | $30,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,917 | $30,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 2,538 | $30,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,393 | $30,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,292 | $30,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 10,171 | $30,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 3,206 | $30,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 656 | $30,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 2,114 | $30,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 4,754 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 1,709 | $30,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 918 | $30,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 1,761 | $30,000 | thousands by filing date | |
| OSI ETF TR | 67110P209 | OSI ETF TR | 1,107 | $30,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 12,183 | $30,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D424 | 2XLEVE ETRACS WF | 1,645 | $30,000 | thousands by filing date | |
| M I ACQUISITIONS INC | 55304A104 | COM | 2,926 | $30,000 | thousands by filing date | |
| SPS COMM INC COM | 78463M107 | Stock | 516 | $29,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 780 | $29,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 853 | $29,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 911 | $29,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,805 | $29,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 2,479 | $29,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 1,000 | $29,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 4,311 | $29,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 1,914 | $29,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 2,149 | $29,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 808 | $29,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 15,000 | $29,000 | thousands by filing date | principal |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 6,062 | $29,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 1,643 | $29,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 5,114 | $29,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 739 | $29,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,486 | $29,000 | thousands by filing date | |
| WOLVERINE BANCORP INC | 977880103 | COM | 667 | $29,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H483 | PS CMDT DS ETN | 755 | $29,000 | thousands by filing date | |
| Jacksonville Bancorp, Inc. (IL) | 46924R106 | Common Stock | 956 | $29,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 2,287 | $29,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 2,782 | $29,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,723 | $29,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 6,301 | $29,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 4,604 | $29,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 28,000 | $29,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A194 | ULTRASHORT GOLD | 1,940 | $29,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 1,038 | $28,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 1,775 | $28,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 2,143 | $28,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 4,830 | $28,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 15,211 | $28,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 659 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 1,142 | $28,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 2,582 | $28,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 1,590 | $28,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 1,256 | $28,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 4,100 | $28,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 5,141 | $28,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 46,072 | $28,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 11,120 | $28,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 2,344 | $28,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 1,419 | $28,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 1,866 | $28,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 2,000 | $28,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 3,083 | $28,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 17,500 | $28,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 2,250 | $28,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,157 | $28,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 1,544 | $28,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 1,066 | $28,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 42,795 | $28,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 3,612 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 1,693 | $28,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 1,924 | $28,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 527 | $28,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,857 | $28,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 9,689 | $28,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 534 | $27,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 1,418 | $27,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 315 | $27,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 2,362 | $27,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 594 | $27,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,580 | $27,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 2,292 | $27,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 905 | $27,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 2,211 | $27,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 674 | $27,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 8,000 | $27,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 1,129 | $27,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 1,574 | $27,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,986 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 2,372 | $27,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 1,371 | $27,000 | thousands by filing date | |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 1,583 | $27,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 6,094 | $27,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 6,031 | $27,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 1,930 | $27,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 3,342 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K349 | DLY NATRL GAS 3X | 1,166 | $27,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 1,403 | $27,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 2,562 | $26,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 1,877 | $26,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 1,085 | $26,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 4,539 | $26,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 494 | $26,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,581 | $26,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 718 | $26,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 3,987 | $26,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 956 | $26,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 4,000 | $26,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 8,799 | $26,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 1,004 | $26,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 12,238 | $26,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 3,245 | $26,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 5,022 | $26,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,588 | $26,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,659 | $26,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 6,390 | $26,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,173 | $26,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 2,052 | $26,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,834 | $26,000 | thousands by filing date | |
| Call - MTB $73.86 Exp 12/23/2018 | 55261F112 | Warrants | 305 | $26,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 395 | $26,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 647 | $26,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 779 | $26,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 19,718 | $26,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 1,233 | $26,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 1,239 | $26,000 | thousands by filing date | |
| CAPITOL INVT CORP IV | G18920119 | UNIT 99/99/9999 | 2,550 | $26,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 1,192 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 810 | $26,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 13,822 | $26,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 39,596 | $26,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 1,675 | $25,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 18,134 | $25,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 3,291 | $25,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 1,504 | $25,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 994 | $25,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 2,069 | $25,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 2,949 | $25,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 2,484 | $25,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 2,004 | $25,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 13,677 | $25,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 2,648 | $25,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 7,029 | $25,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 5,161 | $25,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 9,268 | $25,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 5,749 | $25,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 2,282 | $25,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,372 | $25,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 3,808 | $25,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 1,584 | $25,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 1,829 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,087 | $25,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 5,411 | $25,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 1,424 | $25,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T290 | XLNKS AMLP ETN36 | 1,197 | $25,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 906 | $24,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 1,456 | $24,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,192 | $24,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 3,344 | $24,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,694 | $24,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 800 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,523 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 1,215 | $24,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 1,473 | $24,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 3,000 | $24,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 2,104 | $24,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 32,444 | $24,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 5,720 | $24,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 2,009 | $24,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A834 | ALPHAMARK SM | 1,002 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 974 | $24,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 6,540 | $24,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 3,566 | $24,000 | thousands by filing date | |
| KAYNE ANDERSON ACQUISITION | 48661U102 | COM CL A | 2,460 | $24,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 845 | $24,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 25,000 | $24,000 | thousands by filing date | principal |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 911 | $24,000 | thousands by filing date | |
| PROSHARES TR II | 74347W213 | COM | 1,346 | $24,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 2,000 | $23,000 | thousands by filing date | put |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 1,883 | $23,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 642 | $23,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 698 | $23,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 5,376 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 730 | $23,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 2,131 | $23,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 787 | $23,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,151 | $23,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,688 | $23,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 760 | $23,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 696 | $23,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 4,573 | $23,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 8,764 | $23,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 3,915 | $23,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 7,203 | $23,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 12,728 | $23,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 1,500 | $23,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 6,771 | $23,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 445 | $23,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 5,846 | $23,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 3,937 | $23,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 3,270 | $23,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 3,233 | $23,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 2,904 | $23,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,328 | $23,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES IN | 18449C500 | COM PAR NEW | 12,969 | $23,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 7,318 | $23,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 3,475 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 788 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 873 | $23,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 770 | $22,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,139 | $22,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 1,521 | $22,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 432 | $22,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 1,327 | $22,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,315 | $22,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,459 | $22,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 1,665 | $22,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 946 | $22,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 3,478 | $22,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 30,058 | $22,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,776 | $22,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 2,200 | $22,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 1,038 | $22,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,000 | $22,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 4,000 | $22,000 | thousands by filing date | principal |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 583 | $22,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 960 | $22,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 2,348 | $22,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 2,319 | $22,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 9,411 | $22,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 1,935 | $22,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 3,240 | $22,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 1,311 | $22,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 11,423 | $22,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A203 | UNIT 01/15/2024 | 2,112 | $22,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V206 | UNIT 99/99/9999 | 2,100 | $22,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 30,339 | $22,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 738 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 481 | $21,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 978 | $21,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 1,330 | $21,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 795 | $21,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 2,200 | $21,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 491 | $21,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,416 | $21,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 10,000 | $21,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 2,180 | $21,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 285 | $21,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 1,712 | $21,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 381 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 477 | $21,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 5,403 | $21,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 2,200 | $21,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,791 | $21,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 4,662 | $21,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 17,658 | $21,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 984 | $21,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 3,179 | $21,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 824 | $21,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 1,199 | $21,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 4,794 | $21,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 806 | $21,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 7,000 | $21,000 | thousands by filing date | principal |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 804 | $21,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 463 | $21,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,100 | $21,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 1,157 | $21,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 1,000 | $21,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 318 | $21,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 1,285 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 730 | $21,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 3,078 | $21,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 326 | $21,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 6,123 | $21,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 285 | $21,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 2,192 | $21,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 1,867 | $21,000 | thousands by filing date | |
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 927 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 616 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 1,899 | $21,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 7,940 | $21,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T501 | COM PAR | 2,772 | $21,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 200 | $20,000 | thousands by filing date | put |
| AMERICANRLTYINVSINC | 029174109 | STOK | 2,363 | $20,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,039 | $20,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 2,539 | $20,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 295 | $20,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 2,280 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 855 | $20,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 7,345 | $20,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 693 | $20,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,455 | $20,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 753 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 738 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 305 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 494 | $20,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 6,209 | $20,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 703 | $20,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 1,116 | $20,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 3,297 | $20,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 6,219 | $20,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 1,575 | $20,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 33,639 | $20,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 20,000 | $20,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 20,000 | $20,000 | thousands by filing date | principal |
| COMERICA INC-CW18 | 200340115 | WTS | 430 | $20,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 1,053 | $20,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 2,299 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 598 | $20,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 8,677 | $20,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 2,000 | $20,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 547 | $20,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 512 | $20,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,891 | $20,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 2,840 | $20,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L105 | COM | 2,000 | $20,000 | thousands by filing date | |
| MABVAX THERAPEUTICS HLDGS INC COM NEW | 55414P504 | COM | 30,625 | $20,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 1,673 | $20,000 | thousands by filing date | |
| ISHARES EDGE U.S. FIXED INCOME BALANCED RISK ETF | 46431W846 | ETF | 200 | $20,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 300 | $19,000 | thousands by filing date | put |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 100 | $19,000 | thousands by filing date | put |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 1,652 | $19,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 7,685 | $19,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 638 | $19,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 3,923 | $19,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 515 | $19,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 2,282 | $19,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 922 | $19,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 921 | $19,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R108 | BBG COMMD K 1 | 754 | $19,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 5,838 | $19,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 3,638 | $19,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 3,980 | $19,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 5,123 | $19,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 985 | $19,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 4,236 | $19,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 12,786 | $19,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 29,801 | $19,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 3,470 | $19,000 | 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 |