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 |
|---|---|---|---|---|---|---|
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,864 | $19,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 1,133 | $19,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 6,095 | $19,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 2,769 | $19,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 100 | $19,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 1,005 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 595 | $19,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 891 | $19,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 4,690 | $19,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 338 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 943 | $19,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 959 | $19,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 12,002 | $19,000 | thousands by filing date | |
| TPG PACE ENERGY HLDGS CORP | 872656202 | UNIT 99/99/9999 | 1,913 | $19,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 1,713 | $19,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V101 | COM | 1,900 | $19,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 1,882 | $19,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A202 | UNIT 99/99/9999 | 1,744 | $19,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 3,033 | $18,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 2,031 | $18,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 311 | $18,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,279 | $18,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 3,054 | $18,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 488 | $18,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 475 | $18,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,774 | $18,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 1,398 | $18,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,793 | $18,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 10,000 | $18,000 | thousands by filing date | principal |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,184 | $18,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 1,720 | $18,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 2,066 | $18,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 7,000 | $18,000 | thousands by filing date | principal |
| SALISBURY BANCORP INC | 795226109 | COM | 390 | $18,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 2,184 | $18,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 3,589 | $18,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 28,272 | $18,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 1,603 | $18,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 17,161 | $18,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 4,267 | $18,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 1,976 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 241 | $18,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 1,832 | $18,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 1,330 | $18,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 944 | $18,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 840 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 300 | $18,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 999 | $18,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 49,069 | $18,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 20,981 | $18,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 3,457 | $18,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 312 | $18,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 5,936 | $18,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D259 | NT AMZI 46 | 429 | $18,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B102 | COM | 1,800 | $18,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 33,995 | $18,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,639 | $17,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 600 | $17,000 | thousands by filing date | put |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 11,158 | $17,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 751 | $17,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 3,038 | $17,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 582 | $17,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 369 | $17,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 232 | $17,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 2,500 | $17,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 703 | $17,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,929 | $17,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 1,552 | $17,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 8,091 | $17,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 1,061 | $17,000 | thousands by filing date | |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 348 | $17,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 7,000 | $17,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 4,053 | $17,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 2,629 | $17,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 5,964 | $17,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,387 | $17,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 646 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 600 | $17,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 1,308 | $17,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 5,577 | $17,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 94,007 | $17,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 994 | $17,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 8,634 | $17,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 18,355 | $17,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L109 | DEV EX US ETF | 600 | $17,000 | thousands by filing date | |
| WCF BANCORP INC | 92940L103 | COM | 1,741 | $17,000 | thousands by filing date | |
| CHINA COML CR INC | 16891K103 | COM | 6,048 | $17,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 396 | $17,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D340 | VELOCITY SHS MED | 1,317 | $17,000 | thousands by filing date | |
| AXAR ACQUISITION CORP | 05455L102 | COM | 1,700 | $17,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 1,567 | $16,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 500 | $16,000 | thousands by filing date | put |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 575 | $16,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 200 | $16,000 | thousands by filing date | put |
| AMERESCO INC | 02361E108 | CL A | 2,095 | $16,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 17,718 | $16,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 941 | $16,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 968 | $16,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 771 | $16,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 4,138 | $16,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 2,493 | $16,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 539 | $16,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 2,995 | $16,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,352 | $16,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 1,412 | $16,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 3,297 | $16,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 2,925 | $16,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 585 | $16,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 40,362 | $16,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 576 | $16,000 | thousands by filing date | call |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 547 | $16,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 857 | $16,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 2,649 | $16,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 12,316 | $16,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $16,000 | thousands by filing date | principal |
| HOWARD BANCORP INC COM | 442496105 | COM | 808 | $16,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 4,618 | $16,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 4,165 | $16,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,977 | $16,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 191 | $16,000 | thousands by filing date | |
| Call - ZION $36.27 Exp 11/14/2018 | 989701131 | Warrants | 1,400 | $16,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 10,168 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 329 | $16,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 5,068 | $16,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 1,169 | $16,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 1,097 | $16,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,507 | $16,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 600 | $16,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 44,088 | $16,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 6,021 | $16,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 6,271 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X210 | MSCI CHINA ETF | 680 | $16,000 | thousands by filing date | |
| MATLIN & PARTNE | 57682V205 | Common Stock | 1,611 | $16,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W107 | COM | 1,608 | $16,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 906 | $16,000 | thousands by filing date | |
| WISDOMTREE STRONG DOLLAR EM | 97717X487 | ETP | 575 | $16,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P104 | SHS | 1,600 | $16,000 | thousands by filing date | |
| FQF TR | 351680814 | O SHS ASIA PAC | 578 | $16,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 200 | $15,000 | thousands by filing date | put |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 100 | $15,000 | thousands by filing date | put |
| CAMTEK LTD ORD | M20791105 | Stock | 3,000 | $15,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 1,232 | $15,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 746 | $15,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 1,770 | $15,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 537 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 661 | $15,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 628 | $15,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,650 | $15,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 174 | $15,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 376 | $15,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 2,071 | $15,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,419 | $15,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,567 | $15,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 6,289 | $15,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 11,686 | $15,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,292 | $15,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 4,402 | $15,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 2,106 | $15,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 5,495 | $15,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 2,059 | $15,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 1,037 | $15,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 4,240 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 900 | $15,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 2,445 | $15,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 3,056 | $15,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 489 | $15,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 450 | $15,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 2,569 | $15,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,050 | $15,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 2,091 | $15,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 1,480 | $15,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 3,095 | $15,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,149 | $15,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 5,914 | $15,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 2,790 | $15,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 5,331 | $15,000 | thousands by filing date | |
| QIAGEN NV | N72482AA5 | DEBT 0.375% 3/1 | 13,000 | $15,000 | thousands by filing date | principal |
| TINTRI INC | 88770Q105 | COM | 4,628 | $15,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 444 | $15,000 | thousands by filing date | |
| OSPREY ENERGY ACQUISITION CO | 688397207 | UNIT 07/21/2022 | 1,545 | $15,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 229 | $15,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W123 | UNIT 03/22/2022 | 1,400 | $15,000 | thousands by filing date | |
| ISHARES TR | 46435G565 | MLTFCT HLTCARE | 501 | $15,000 | thousands by filing date | |
| ELKHORN ETF TR | 287711824 | FDMNTL COMMDTY | 558 | $15,000 | thousands by filing date | |
| USCF ETF TR | 90290T106 | STK SPLT IDX FD | 892 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y608 | GURU ACTS ETF | 975 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A867 | MASTER INC ETF | 841 | $15,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 600 | $14,000 | thousands by filing date | call |
| NEXTDECADE CORP | 65342K105 | COM | 1,341 | $14,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 1,565 | $14,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 369 | $14,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,374 | $14,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 6,643 | $14,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 2,048 | $14,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 5,000 | $14,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 635 | $14,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,284 | $14,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 789 | $14,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 788 | $14,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 446 | $14,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 1,296 | $14,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 3,252 | $14,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 15,000 | $14,000 | thousands by filing date | principal |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 9,540 | $14,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 5,269 | $14,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,916 | $14,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 7,210 | $14,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,000 | $14,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 32,549 | $14,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 3,696 | $14,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 4,705 | $14,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 10,014 | $14,000 | thousands by filing date | |
| USCF FDS TR | 91733T307 | US 3X OIL FD | 461 | $14,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 890 | $14,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 993 | $14,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 1,348 | $14,000 | thousands by filing date | |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 551 | $14,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 548 | $14,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 672 | $14,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 6,709 | $14,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 5,921 | $14,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H101 | COM | 6,185 | $14,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108300 | YLDSHS SENIOR | 500 | $14,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 48,825 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B365 | S&P SMLCP HIG VO | 580 | $14,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 100 | $13,000 | thousands by filing date | put |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 2,413 | $13,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 200 | $13,000 | thousands by filing date | put |
| A10 NETWORKS INC | 002121101 | COM | 1,692 | $13,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 695 | $13,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 444 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 491 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 503 | $13,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 817 | $13,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 1,702 | $13,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 10,499 | $13,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 2,667 | $13,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 2,571 | $13,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,176 | $13,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 8,300 | $13,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 2,308 | $13,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 5,708 | $13,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 2,992 | $13,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 545 | $13,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 423 | $13,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,563 | $13,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 6,509 | $13,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 750 | $13,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 52,593 | $13,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 9,793 | $13,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,758 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 1,201 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 470 | $13,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 2,047 | $13,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 962 | $13,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 4,391 | $13,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 383 | $13,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 2,172 | $13,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 2,622 | $13,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,857 | $13,000 | thousands by filing date | |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 9,638 | $13,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 3,590 | $13,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,271 | $12,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 3,158 | $12,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 600 | $12,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 692 | $12,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 200 | $12,000 | thousands by filing date | put |
| MACROGENICS INC | 556099109 | COM | 664 | $12,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 300 | $12,000 | thousands by filing date | put |
| COMMUNITY USD0.01 | 20369C106 | COM | 462 | $12,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 454 | $12,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 2,640 | $12,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 5,398 | $12,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 318 | $12,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 854 | $12,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 1,246 | $12,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 884 | $12,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 2,412 | $12,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 925 | $12,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 4,631 | $12,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,020 | $12,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 2,780 | $12,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 3,007 | $12,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,200 | $12,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 4,548 | $12,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 1,196 | $12,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 8,797 | $12,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 1,718 | $12,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,598 | $12,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,700 | $12,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 14,009 | $12,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 1,300 | $12,000 | thousands by filing date | put |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $12,000 | thousands by filing date | principal |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 17,811 | $12,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,500 | $12,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 7,934 | $12,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,637 | $12,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 8,368 | $12,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $12,000 | thousands by filing date | principal |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 3,536 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 713 | $12,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,585 | $12,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 12,014 | $12,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 5,048 | $12,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 190 | $12,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,512 | $12,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 16,519 | $12,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 3,080 | $12,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 2,353 | $12,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 407 | $12,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 3,780 | $12,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 3,195 | $12,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 3,375 | $12,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 15,122 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E752 | DLY MSCI MX 3X | 442 | $12,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 5,372 | $12,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T147 | *W EXP 03/18/202 | 4,684 | $12,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 1,301 | $11,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 380 | $11,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 1,225 | $11,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 2,083 | $11,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 258 | $11,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 1,606 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 437 | $11,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 29,838 | $11,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 615 | $11,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,352 | $11,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 3,322 | $11,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 910 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 188 | $11,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 355 | $11,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 472 | $11,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 800 | $11,000 | thousands by filing date | call |
| NETLIST INC | 64118P109 | COM | 15,301 | $11,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 606 | $11,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,670 | $11,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 6,568 | $11,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 4,000 | $11,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 265 | $11,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 932 | $11,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 7,288 | $11,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $11,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 197 | $11,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 23,254 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 917 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F184 | FUND | 249 | $11,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 4,809 | $11,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,715 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 363 | $11,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 370 | $11,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,579 | $11,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 6,271 | $11,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 2,108 | $11,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q403 | COM PAR | 3,714 | $11,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 2,109 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 750 | $11,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 1,071 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 410 | $11,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 3,969 | $11,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 10,000 | $11,000 | thousands by filing date | principal |
| UBS AG LONDON BRANCH | 90270L354 | SER B LKD 46 | 355 | $11,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 10,553 | $11,000 | thousands by filing date | |
| TPG PACE ENERGY HLDGS CORP | 872656103 | CL A | 1,100 | $11,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 988 | $11,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 884 | $11,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 18,456 | $11,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG NATURAL GAS | 74347W296 | ETF | 1,300 | $11,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 2,568 | $11,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR INDUSTRIALS ETF | 46435G557 | ETF | 366 | $11,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 750 | $11,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 2,683 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q486 | ALPS DORESEY | 384 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E109 | DAILY SLR BULL | 1,148 | $11,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 23,312 | $11,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G855 | ISECTR GRW ETF | 409 | $11,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 32,797 | $11,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 1,508 | $11,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 570 | $10,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 3,400 | $10,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 2,193 | $10,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 2,341 | $10,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 226 | $10,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 437 | $10,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 1,589 | $10,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 598 | $10,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 1,748 | $10,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 2,728 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 555 | $10,000 | thousands by filing date | |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 958 | $10,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 125 | $10,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 7,711 | $10,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 400 | $10,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 4,300 | $10,000 | thousands by filing date | call |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 300 | $10,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 380 | $10,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 1,954 | $10,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 8,022 | $10,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,478 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 180 | $10,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 8,655 | $10,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 30,454 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 288 | $10,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 3,330 | $10,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 500 | $10,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 398 | $10,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 60,000 | $10,000 | thousands by filing date | principal |
| MATTERSIGHT CORP | 577097108 | COM | 3,486 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 1,051 | $10,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 765 | $10,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 431 | $10,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 1,559 | $10,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 943 | $10,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 515 | $10,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 400 | $10,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 4,543 | $10,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C200 | COM NEW | 6,562 | $10,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 2,059 | $10,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 3,301 | $10,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 11,651 | $10,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 380 | $10,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 400 | $10,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 1,242 | $10,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 239 | $10,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 6,863 | $10,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 1,970 | $10,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B201 | UNIT 99/99/9999 | 908 | $10,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 4,358 | $10,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 2,303 | $10,000 | thousands by filing date | |
| USCF ETF TR | 90290T205 | RESTAURNT LDRS | 600 | $10,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 7,440 | $10,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 19,978 | $9,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 510 | $9,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 300 | $9,000 | thousands by filing date | call |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 250 | $9,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 353 | $9,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 733 | $9,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 544 | $9,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 1,325 | $9,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 2,051 | $9,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 3,884 | $9,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 999 | $9,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 1,264 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 250 | $9,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 746 | $9,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 3,197 | $9,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 447 | $9,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 4,432 | $9,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 1,330 | $9,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 4,411 | $9,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 649 | $9,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 17,530 | $9,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 6,420 | $9,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 5,508 | $9,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 840 | $9,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 259 | $9,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 772 | $9,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 1,334 | $9,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 6,669 | $9,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 10,877 | $9,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 761 | $9,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 2,686 | $9,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,218 | $9,000 | thousands by filing date | |
| TOR MINERALS INTL INC | 890878309 | COM NEW | 1,279 | $9,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 24,904 | $9,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 6,170 | $9,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 3,997 | $9,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,590 | $9,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 7,741 | $9,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 4,094 | $9,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 2,877 | $9,000 | thousands by filing date | |
| SOLENO THERAPEUTICS INC | 834203101 | COM | 16,718 | $9,000 | thousands by filing date | |
| LONG IS ICED TEA CORP | 54267E104 | COM | 3,542 | $9,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 1,491 | $9,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 900 | $9,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 2,654 | $9,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 5,879 | $9,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D432 | ETRACS MNTLY PAY | 464 | $9,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H209 | COM NEW | 16,104 | $9,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 2,215 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 705 | $9,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195108 | UNIT 99/99/9999 | 900 | $9,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 300 | $8,000 | thousands by filing date | put |
| OIL DRI CORP AMER COM | 677864100 | Stock | 166 | $8,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 1,745 | $8,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 5,240 | $8,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,932 | $8,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 775 | $8,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 538 | $8,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,121 | $8,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 6,438 | $8,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 1,994 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 282 | $8,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 4,099 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 247 | $8,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,437 | $8,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 5,430 | $8,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 2,400 | $8,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 700 | $8,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,321 | $8,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 340 | $8,000 | 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 |