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 |
|---|---|---|---|---|---|---|
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 707 | $8,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,977 | $8,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 1,215 | $8,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 778 | $8,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 300 | $8,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 6,560 | $8,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 8,441 | $8,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 281 | $8,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 1,202 | $8,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 9,263 | $8,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 6,000 | $8,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 20 | $8,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 1,249 | $8,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 12,340 | $8,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 25,882 | $8,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 520 | $8,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 246 | $8,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 2,354 | $8,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 293 | $8,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 302 | $8,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 859 | $8,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 5,859 | $8,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 201 | $8,000 | thousands by filing date | |
| SUNTRUST BKS INC | 867914111 | *W EXP 11/14/201 | 500 | $8,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 2,000 | $8,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 218 | $8,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 1,837 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746L422 | IPATH S&P500 VIX | 200 | $8,000 | thousands by filing date | call |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 2,637 | $8,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 293 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 480 | $8,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 5,138 | $8,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 5,677 | $8,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 4,736 | $8,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 426 | $8,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 3,972 | $8,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 1,733 | $8,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827102 | UNIT 99/99/9999 | 770 | $8,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 3,391 | $8,000 | thousands by filing date | |
| KAYNE ANDERSON ACQUISITION | 48661U201 | UNIT 06/30/2022 | 766 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 414 | $8,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 3,173 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 324 | $8,000 | thousands by filing date | |
| PRECIPIO INC | 74019L107 | COM | 3,845 | $8,000 | thousands by filing date | |
| MONSTER DIGITAL INC COM PAR NEW | 61174L501 | Stock | 11,273 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 1,028 | $8,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 5,140 | $8,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 344 | $8,000 | thousands by filing date | |
| RMG NETWORKS HLDG CORP | 74966K300 | COM NEW | 3,579 | $8,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 21,099 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 474 | $8,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 100 | $7,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,000 | $7,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 6,555 | $7,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 1,750 | $7,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 510 | $7,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 53 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 252 | $7,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 146 | $7,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,477 | $7,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 800 | $7,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 168 | $7,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 5,001 | $7,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,812 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 118 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 146 | $7,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 2,822 | $7,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 500 | $7,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 613 | $7,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 286 | $7,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 489 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 200 | $7,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 188 | $7,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 2,656 | $7,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 3,040 | $7,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 6,708 | $7,000 | thousands by filing date | |
| COBALT INTL ENERGY | 19075F304 | COM | 5,071 | $7,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 256 | $7,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 321 | $7,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 1,323 | $7,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 6,000 | $7,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 7,395 | $7,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 2,847 | $7,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,067 | $7,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 1,933 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 300 | $7,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 491 | $7,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 6,819 | $7,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 10,103 | $7,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 364 | $7,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 5,106 | $7,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 1,596 | $7,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 399 | $7,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 7,862 | $7,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 8,848 | $7,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 1,189 | $7,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 1,413 | $7,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 1,466 | $7,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 1,566 | $7,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 1,770 | $7,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N303 | COM PAR | 2,072 | $7,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 4,013 | $7,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q102 | COM | 12,501 | $7,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 496 | $7,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 6,058 | $7,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 499 | $7,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 2,240 | $7,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 235 | $7,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 810 | $7,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 429 | $7,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 5,439 | $7,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 1,170 | $7,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 2,586 | $7,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 1,106 | $7,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 6,873 | $7,000 | thousands by filing date | |
| SHINECO INC COM NEW | 824567200 | Stock | 2,562 | $7,000 | thousands by filing date | |
| NETSHOES CAYMAN LTD | G6455X107 | COM | 494 | $7,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 5,032 | $7,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 3,712 | $7,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 665 | $7,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 4,084 | $7,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 385 | $7,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 4,159 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 231 | $7,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T606 | COM PAR | 5,065 | $7,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 215 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051796 | XTRACK MSCI MEX | 331 | $7,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F301 | SPONSRED ADR NEW | 2,040 | $7,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 100 | $6,000 | thousands by filing date | put |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 223 | $6,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 100 | $6,000 | thousands by filing date | put |
| CELCUITY INC | 15102K100 | COM | 457 | $6,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 2,404 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 135 | $6,000 | thousands by filing date | |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 476 | $6,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 337 | $6,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 128 | $6,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 206 | $6,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 256 | $6,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 731 | $6,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 6,197 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 96 | $6,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 251 | $6,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 276 | $6,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 1,301 | $6,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 364 | $6,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 1,230 | $6,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 152 | $6,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 5,000 | $6,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| XCEL BRANDS INC | 98400M101 | COM NEW | 1,555 | $6,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 1,889 | $6,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 287 | $6,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 4,900 | $6,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 715 | $6,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 12,522 | $6,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 15,797 | $6,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,626 | $6,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 5,085 | $6,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 558 | $6,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 59,543 | $6,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $6,000 | thousands by filing date | principal |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 4,250 | $6,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 5,770 | $6,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 1,852 | $6,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 1,788 | $6,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 531 | $6,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 1,000 | $6,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 3,015 | $6,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 563 | $6,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 1,840 | $6,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 15,384 | $6,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 441 | $6,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 5,691 | $6,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 3,355 | $6,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 855 | $6,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 393 | $6,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 212 | $6,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 9,347 | $6,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 4,843 | $6,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 2,926 | $6,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 1,821 | $6,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 3,143 | $6,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 3,524 | $6,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 2,427 | $6,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 991 | $6,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 10,000 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 200 | $6,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 285 | $6,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,000 | $6,000 | thousands by filing date | principal |
| TapImmune Inc | 876033408 | COM | 2,059 | $6,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 2,710 | $6,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM NEW | 759757602 | Stock | 33,277 | $6,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP II | 31810G109 | COM | 600 | $6,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L792 | ETRACS 2XLEV | 127 | $6,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D150 | VELOCITYSHS SHRT | 100 | $6,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 6,693 | $6,000 | thousands by filing date | |
| Soleno Therapeutics Inc Wt S E | 834203119 | W | 52,091 | $6,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 100 | $5,000 | thousands by filing date | put |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 309 | $5,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 100 | $5,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 619 | $5,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 674 | $5,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 190 | $5,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 1,095 | $5,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 207 | $5,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 382 | $5,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 229 | $5,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 1,072 | $5,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 312 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G441 | ESG ADVNCD HY BD | 100 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 156 | $5,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 1,223 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 170 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 136 | $5,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 1,597 | $5,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 1,508 | $5,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 150 | $5,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,111 | $5,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,283 | $5,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 3,000 | $5,000 | thousands by filing date | principal |
| GLOBAL BROKERAGE INC | 37891B109 | COM | 3,061 | $5,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 206 | $5,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 5,420 | $5,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 2,062 | $5,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 391 | $5,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 547 | $5,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 1,343 | $5,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 648 | $5,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 1,000 | $5,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 2,470 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,648 | $5,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 600 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 1,723 | $5,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 300 | $5,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 1,094 | $5,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 364 | $5,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 14,407 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 1,828 | $5,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 2,353 | $5,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 200 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 141 | $5,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,462 | $5,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 12,700 | $5,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 8,309 | $5,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 1,235 | $5,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 2,170 | $5,000 | thousands by filing date | |
| FIRST TRUST MULTI STRGY ALTER ETF | 73935B870 | ALT MULTI STRG | 211 | $5,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 328 | $5,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,177 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 199 | $5,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468104 | COM | 2,565 | $5,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 4,087 | $5,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 3,516 | $5,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 630 | $5,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 3,000 | $5,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 4,000 | $5,000 | thousands by filing date | principal |
| CHIASMA INC | 16706W102 | COM | 1,933 | $5,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 277 | $5,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 1,000 | $5,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 2,409 | $5,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 390 | $5,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 2,000 | $5,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 2,098 | $5,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 7,329 | $5,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 4,800 | $5,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 154 | $5,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 402 | $5,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A102 | CL A | 500 | $5,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 1,217 | $5,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A307 | COM PAR | 1,116 | $5,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 245 | $5,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | G0726L125 | Stock | 500 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 250 | $5,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 14,954 | $5,000 | thousands by filing date | |
| ROSETTA GENOMICS | M82183209 | Equities | 4,594 | $5,000 | thousands by filing date | |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 3,265 | $5,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 2,154 | $5,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,538 | $5,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH X | 22539T399 | COM | 173 | $5,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 204 | $5,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 4,766 | $5,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 2,095 | $5,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 4,345 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A186 | ULTRPRO SHRT NEW | 503 | $5,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 4,036 | $5,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 675 | $5,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 3,634 | $5,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 13,865 | $5,000 | thousands by filing date | |
| WORLD GOLD TR | 98146B104 | SPDR GLD MINIS | 40 | $5,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 1,042 | $5,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 4,000 | $5,000 | thousands by filing date | principal |
| EnerJex Resources Inc | 292758406 | COM | 17,565 | $5,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 2,567 | $5,000 | thousands by filing date | |
| STRATEGY SHS | 86280R308 | ACTIVE ALTS | 200 | $5,000 | thousands by filing date | |
| FQF TR | 351680830 | O SHARES EUROP | 200 | $5,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 151 | $4,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 208 | $4,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 130 | $4,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 1,000 | $4,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 342 | $4,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 119 | $4,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 268 | $4,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 1,949 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $4,000 | thousands by filing date | principal |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 138 | $4,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 93 | $4,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 1,503 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 178 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 127 | $4,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 691 | $4,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 522 | $4,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 3,000 | $4,000 | thousands by filing date | principal |
| Delta Apparel Inc | 247368103 | COM | 174 | $4,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 4,306 | $4,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 1,639 | $4,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 1,775 | $4,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 175 | $4,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 2,162 | $4,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 2,741 | $4,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 351 | $4,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 2,957 | $4,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 431 | $4,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 8,075 | $4,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $4,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 3,010 | $4,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 2,641 | $4,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 9,323 | $4,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 60 | $4,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 103 | $4,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 6,521 | $4,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 984 | $4,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 174 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 399 | $4,000 | thousands by filing date | |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 22,423 | $4,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 211 | $4,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 566 | $4,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 8,102 | $4,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 2,500 | $4,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 849 | $4,000 | thousands by filing date | |
| BANRO CORP | 066800806 | COM NEW | 11,863 | $4,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 536 | $4,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 4,983 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 168 | $4,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,000 | $4,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,859 | $4,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 1,928 | $4,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,305 | $4,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 1,054 | $4,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 1,286 | $4,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 749 | $4,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| EVINE LIVE INC | 300487105 | CL A | 3,331 | $4,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 368 | $4,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 438 | $4,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 386 | $4,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 3,000 | $4,000 | thousands by filing date | principal |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 3,400 | $4,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 247 | $4,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 3,026 | $4,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 1,210 | $4,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 5,528 | $4,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 2,370 | $4,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 5,000 | $4,000 | thousands by filing date | principal |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 3,641 | $4,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 196 | $4,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E889 | PROSPOTS SPONR | 200 | $4,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 375 | $4,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 11,043 | $4,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 3,000 | $4,000 | thousands by filing date | principal |
| ONCOBIOLOGICS INC | 68235M105 | COM | 2,389 | $4,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 2,382 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G573 | MLTFACT MATLS | 127 | $4,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G201 | SPONSORD ADR NEW | 1,869 | $4,000 | thousands by filing date | |
| ISHARES INC | 46434G871 | MIN VOLA EM | 134 | $4,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC-CW18 | 00444P116 | W E | 54,978 | $4,000 | thousands by filing date | |
| M III ACQUISITION CORP | 55378T104 | COM | 400 | $4,000 | thousands by filing date | |
| AOXIN TIANLI GROUP INC | G0404E112 | NEW SHS | 1,808 | $4,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 100 | $3,000 | thousands by filing date | call |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 568 | $3,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 174 | $3,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 100 | $3,000 | thousands by filing date | call |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 6,144 | $3,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 760 | $3,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 118 | $3,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 100 | $3,000 | thousands by filing date | put |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 1,719 | $3,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 722 | $3,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,671 | $3,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 583 | $3,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 127 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 44 | $3,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 1,024 | $3,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 1,000 | $3,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 1,500 | $3,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 1,000 | $3,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 2,824 | $3,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 3,388 | $3,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 100 | $3,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 696 | $3,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 747 | $3,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 869 | $3,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 1,419 | $3,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,046 | $3,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 5,821 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 167 | $3,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 573 | $3,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 456 | $3,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 263 | $3,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 100 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 100 | $3,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 443 | $3,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 2,074 | $3,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 332 | $3,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,278 | $3,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 352 | $3,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 1,168 | $3,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 7,060 | $3,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 2,307 | $3,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 7,505 | $3,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T324 | VEL SH 3X LG NAT | 226 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 83 | $3,000 | thousands by filing date | |
| CLEMENTIA PHARMACEUTICALS IN | 185575107 | COM | 158 | $3,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 1,354 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 100 | $3,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 2,022 | $3,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 750 | $3,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 1,451 | $3,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 76 | $3,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 327 | $3,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC NEW | 29365M505 | Common Stock | 1,940 | $3,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 10,961 | $3,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 280 | $3,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 2,000 | $3,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 1,140 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 101 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 220 | $3,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 670 | $3,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 106 | $3,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 9,092 | $3,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505863 | REX GOLD SP500 | 80 | $3,000 | thousands by filing date | |
| CSOP ETF TR | 12649L303 | CHINA CSI 300 | 89 | $3,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 9,565 | $3,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U878 | HENDERSON SG GBL | 89 | $3,000 | thousands by filing date | |
| WISDOMTREE U.S. EXPORT AND MULTINATIONAL FUND | 97717X453 | ETF | 100 | $3,000 | thousands by filing date | |
| M III ACQUISITION CORP | 55378T203 | UNIT 99/99/9999T | 280 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 112 | $3,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 4,327 | $3,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P102 | SHS | 21,371 | $3,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 2,142 | $2,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 80 | $2,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 1,070 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 20 | $2,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 70 | $2,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 290 | $2,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 165 | $2,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 1,647 | $2,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 50 | $2,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 500 | $2,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 901 | $2,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 689 | $2,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 331 | $2,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 645 | $2,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 379 | $2,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 200 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 80 | $2,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 540 | $2,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 800 | $2,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 724 | $2,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 1,155 | $2,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 1,486 | $2,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 1,335 | $2,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 653 | $2,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 259 | $2,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 765 | $2,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 1,372 | $2,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 2,500 | $2,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 270 | $2,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 1,250 | $2,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 735 | $2,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 1,500 | $2,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 400 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 87 | $2,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 100 | $2,000 | thousands by filing date | put |
| WALTER INVT MGMT CORP | 93317W102 | COM | 3,000 | $2,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 1,381 | $2,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 900 | $2,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 305 | $2,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 775 | $2,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 1,750 | $2,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 71 | $2,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 1,530 | $2,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 419 | $2,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 1,118 | $2,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 100 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | 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 |