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 |
|---|---|---|---|---|---|---|
| MICRONET ENERTEC TECH | 595117102 | COMMON | 2,217 | $2,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 335 | $2,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 26 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 72 | $2,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 63 | $2,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 55 | $2,000 | thousands by filing date | |
| LINIU TECHNOLOGY GROUP | G54971208 | SNC | 1,572 | $2,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 154 | $2,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 1,398 | $2,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 85 | $2,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 730 | $2,000 | thousands by filing date | |
| PHASERX INC | 71723F103 | COM | 1,902 | $2,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 1,314 | $2,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 94 | $2,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 1,000 | $2,000 | thousands by filing date | principal |
| USCF FDS TR | 91733T406 | US 3X SHRT OIL | 100 | $2,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 862 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 100 | $2,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T456 | ETN LKD 34 | 103 | $2,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931503 | COM PAR NEW | 1,961 | $2,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 5,276 | $2,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 70 | $2,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U116 | *W EXP 08/08/202 | 3,165 | $2,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 646 | $2,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 3,000 | $2,000 | thousands by filing date | |
| IMMURON LTD | Q4867H223 | *W EXP 06/08/202 | 2,031 | $2,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 180 | $2,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 292 | $2,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 180 | $2,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 961 | $2,000 | thousands by filing date | |
| KITOV PHARMA LTD | 49803V115 | *W EXP 11/25/202 | 2,600 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ROSEHILL RES INC | 777385204 | UNIT 12/31/2020 | 234 | $2,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 2,000 | $2,000 | thousands by filing date | principal |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 852 | $2,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 99 | $2,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 2,205 | $2,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W107 | CL A | 200 | $2,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 2,000 | $2,000 | thousands by filing date | principal |
| ISHARES EDGE MSCI MIN VOL EAFE CURRENCY HEDGED ETF | 46435G714 | ETF | 87 | $2,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 1,988 | $2,000 | thousands by filing date | |
| ELKHORN S&P HIGH QUALITY PREFERRED ETF | 287711501 | ETF | 87 | $2,000 | thousands by filing date | |
| GUGGENHEIM S&P 100 EQUAL WEIGHT ETF | 78355W478 | ETF | 71 | $2,000 | thousands by filing date | |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 586 | $2,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 9,835 | $2,000 | thousands by filing date | |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 68,433 | $2,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 7,738 | $2,000 | thousands by filing date | |
| MERIDIAN WASTE SOLUTIONS INC | 58985L209 | COM | 1,478 | $2,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789100 | UNIT 12/17/2021T | 163 | $2,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789134 | RIGHT 03/12/2018 | 6,588 | $2,000 | thousands by filing date | |
| I AM CAP ACQUISITION CO | 45074Q207 | UNIT 08/15/2022 | 170 | $2,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 800 | $1,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 240 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 21 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 288 | $1,000 | thousands by filing date | |
| PACER FDS TR | 69374H881 | US CASH COWS 100 | 39 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 479 | $1,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 37 | $1,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 4,819 | $1,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 83 | $1,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 79 | $1,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 37 | $1,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 298 | $1,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 44 | $1,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE VALUE ETF | 02072L201 | ETF | 41 | $1,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 20 | $1,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 13 | $1,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 462 | $1,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 229 | $1,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 244 | $1,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 109 | $1,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 300 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 35 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 75 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 30 | $1,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 380 | $1,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 54 | $1,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 590 | $1,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 198 | $1,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 1,250 | $1,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 350 | $1,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 1,200 | $1,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 611 | $1,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 20 | $1,000 | thousands by filing date | |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 100 | $1,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 622 | $1,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 879 | $1,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 180 | $1,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 3,000 | $1,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 1,000 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 335 | $1,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 422 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 546 | $1,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 17 | $1,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 764 | $1,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 216 | $1,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 452 | $1,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| RAND LOGISTICS INC | 752182105 | COM | 2,933 | $1,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 42 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 90 | $1,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 1,110 | $1,000 | thousands by filing date | |
| IPATH PURE BETA GRAINS | 06740P270 | CMN | 25 | $1,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 2,734 | $1,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 1,280 | $1,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 239 | $1,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 48 | $1,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 207 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 40 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H453 | FUND | 40 | $1,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 751 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P171 | IPTH ALUMN ETN | 40 | $1,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 216 | $1,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 39 | $1,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 1,751 | $1,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 637 | $1,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 786 | $1,000 | thousands by filing date | |
| Trump Media & Technology | 287711816 | COM | 51 | $1,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F577 | GEN DRUGS ETF | 50 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 98,471 | $1,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 1,470 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A804 | COM PAR | 2,051 | $1,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 364 | $1,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 236 | $1,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 183 | $1,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265308 | SHS NEW | 1,416 | $1,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 225 | $1,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 32 | $1,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 312 | $1,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 230 | $1,000 | thousands by filing date | |
| ABERDEEN STANDARD INVESTS ETFS ABRDN BLMBRG COMDTY LNGR DATD | 26923J602 | Equities | 45 | $1,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867117 | *W EXP 01/13/202 | 775 | $1,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 83 | $1,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 1,594 | $1,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L113 | *W EXP 06/15/202 | 1,000 | $1,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 168 | $1,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 883 | $1,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C110 | *W EXP 08/03/202 | 500 | $1,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 125 | $1,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 51 | $1,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 50 | $1,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 4,629 | $1,000 | thousands by filing date | |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 8,827 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 29 | $1,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| UBS AG LONDON BRANCH | 90274E828 | VELCTY 1X ETN 47 | 90 | $1,000 | thousands by filing date | |
| Sensus Healthcare, Inc @6.75 6 | 81728J117 | warrants | 1,545 | $1,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 239 | $1,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 17,939 | $1,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 447 | $1,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 100 | $1,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 22,591 | $1,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B128 | RIGHT 99/99/9999 | 2,800 | $1,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 19 | $1,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L113 | *W EXP 01/21/202 | 3,452 | $1,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y115 | *W EXP 12/24/201 | 100 | $1,000 | thousands by filing date | |
| JMU LTD | 46647L105 | SPONSORED ADR | 400 | $1,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 854 | $1,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 30 | $1,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC COM NEW | 775431208 | Stock | 1,365 | $1,000 | thousands by filing date | |
| TARGACEPT INC | 87611RAA6 | NOTE 2/1 | 1,000 | $1,000 | thousands by filing date | principal |
| GLOBAL PARTNER ACQUISITION C | 37954X105 | COM | 78 | $1,000 | thousands by filing date | |
| ONCOBIOLOG-CW17A | 68235M113 | EQUITY WRT | 7,888 | $1,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V127 | *W EXP 02/11/202 | 10,312 | $1,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A127 | *W EXP 07/19/201 | 125 | $1,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K113 | COM | 800 | $1,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C120 | UNIT 99/99/9999 | 99 | $1,000 | thousands by filing date | |
| MERIDIAN WASTE SOLUTIONS INC | 58985L118 | *W EXP 02/10/202 | 5,053 | $1,000 | thousands by filing date | |
| GLOBAL PARTNER A | 37954X204 | UNIT | 79 | $1,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P120 | RIGHT 09/01/2017 | 2,200 | $1,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC | Y2069P143 | SHS PAR | 2,194 | $1,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 113 | $1,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G306 | BULLMARK LATAM S | 20 | $1,000 | thousands by filing date | |
| ATLANTIC ALLIANCE PARTNER CO | G04897107 | SHS | 110 | $1,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERICEL CORP | 92346J108 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APPIAN CORP | 03782L101 | CL A | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 145 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABACUS FCF ETF TR | 89628W401 | INTL LEADERS ETF | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 120 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 227 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUNA INNOVATIONS INC | 550351100 | COM | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROSETTA RES INC COM | 777385105 | Stock | 56 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEADRILL ORD | G7945E105 | COM | 1,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 285 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 191 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORAGENICS INC | 684023203 | COM NEW | 647 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 328 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUDSON GLOBAL INC | 443787106 | COM | 121 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMSTOCK MNG INC | 205750102 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Leading Brands Inc. | 52170U207 | COM | 105 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 472 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739H420 | IPATH AS GLF CUR | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LDN BRH | 25154H467 | PS CMDTY SH ETN | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LDN BRH | 25154H541 | PSHS AGRI SHR38 | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHMITT INDS INC ORE | 806870200 | COM | 133 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETRACS CMCI INDUST MTLS TR | 902641752 | ETP | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WILHELMINA INTL INC | 968235200 | COM NEW | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCIMOTO INC | 039587100 | COM | 97 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 2,701 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROBOT MED INC | 59503A105 | COM | 54 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NET ELEMENT INC | 64111R201 | COM NEW | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVINGER INC | 053734109 | COM | 212 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CISION LTD | G1992S109 | SHS | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 41 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 92 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 83 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZAFGEN INC | 98885E103 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 71 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740D830 | RTRN DISABILIT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 6,148 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 959 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOSEC MED INC | 68234L207 | COM NEW | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MATLIN & PARTNERS ACQUISITIO | 57682V114 | *W EXP 05/28/202 | 337 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KAYNE ANDERSON ACQUISITION | 48661U110 | *W EXP 06/30/202 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LANDCADIA HLDGS INC | 51476W115 | *W EXP 06/01/202 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A127 | *W EXP 07/07/202 | 8,824 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BENITEC BIOPHARMA LTD | 082053117 | *W EXP 08/14/202 | 385 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUROMETRIX INC | 641255195 | *W EXP 05/29/202 | 1,430 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F120 | *W EXP 08/20/201 | 570 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JENSYN ACQUISITION CORP | 47632B110 | *W EXP 03/07/202 | 1,900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CISION LTD | G1992S117 | *W EXP 06/22/202 | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 1,227 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 750 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORIGO ACQUISITION CORP | G67789126 | SHS | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STELLAR ACQUISITION III INC | Y8172W115 | *W EXP 03/22/2022 | 1,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARINGTON HILCO ACQUISITION | 06759V119 | RIGHT 08/11/2017 | 1,214 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVISTA HEALTHCARE PUB ACQ CO | G0726L109 | UNIT 99/99/9999 | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNOCELLULAR THERAPEUTICS | 452536121 | *W EXP 08/12/202 | 2,858 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEARLAB CORP | 878193200 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740P312 | IPTH ENRGY ETN | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Forum Merger Corp | 34985B129 | RIGHT 06/01/2019 | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORIGO ACQUISITION CORP | G67789118 | *W EXP 12/17/202 | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MONSTER DIGITAL INC | 61174L113 | *W EXP 99/99/999 | 1,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RENNOVA HEALTH INC | 759757123 | *W EXP 06/30/202 | 24,561 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LGL GROUP INC | 50186A124 | RIGHT 10/10/2017 | 5,160 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 86 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDOVEX CORP | 58504H119 | *W EXP 12/24/201 | 953 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELTA TECHNOLOGY HLDGS LTD | G8477B113 | *W EXP 12/18/201 | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |