13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-14, with 7,914 holding rows worth $243,356,215,000.
- Accession
- 0000950123-18-002511
- Filer
- CIK 1610520
- Filed
- 2018-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A combination report, 13,779 entries on the cover page, a total value of $243,356,215,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $243,355,484,000 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 |
|---|---|---|---|---|---|---|
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 4,010 | $178,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 29,287 | $178,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 11,365 | $177,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 3,952 | $177,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 7,748 | $176,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 10,727 | $176,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 3,916 | $176,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 4,160 | $176,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 6,382 | $175,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 2,300 | $174,000 | thousands by filing date | put |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 4,742 | $174,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 5,764 | $174,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 18,930 | $174,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 5,779 | $174,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 40,000 | $173,000 | thousands by filing date | put |
| WAYFAIR INC | 94419L101 | CL A | 2,161 | $173,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 3,154 | $173,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 8,645 | $173,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 2,475 | $173,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 5,434 | $172,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 21,119 | $172,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 5,160 | $171,000 | thousands by filing date | |
| INTEGER HLDGS CORP | 45826H109 | COM | 3,779 | $171,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 8,913 | $171,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 11,892 | $171,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 15,593 | $171,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 15,256 | $171,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 6,821 | $171,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 1,600 | $170,000 | thousands by filing date | put |
| RIOT PLATFORMS INC | 767292105 | COM | 5,977 | $170,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 4,380 | $170,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 7,468 | $170,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 12,132 | $170,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 10,993 | $170,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 17,843 | $170,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 40,430 | $169,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 8,700 | $169,000 | thousands by filing date | put |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 5,923 | $169,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 4,000 | $168,000 | thousands by filing date | call |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 120,099 | $168,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 3,743 | $168,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 25,000 | $168,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 1,500 | $167,000 | thousands by filing date | put |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 8,750 | $167,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 10,279 | $167,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 12,621 | $167,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 2,594 | $166,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 19,002 | $166,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 7,347 | $165,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 17,778 | $165,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 5,300 | $164,000 | thousands by filing date | put |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 4,635 | $164,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 3,940 | $164,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 3,450 | $164,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 4,064 | $163,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 8,690 | $163,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 4,274 | $163,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 8,953 | $163,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 9,398 | $163,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 15,000 | $162,000 | thousands by filing date | put |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 9,284 | $162,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 94,984 | $162,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 56,679 | $161,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 3,691 | $161,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 8,768 | $161,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 3,713 | $161,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 9,223 | $160,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 5,201 | $160,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 5,044 | $159,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 67,480 | $159,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 6,190 | $159,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 3,229 | $158,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 2,230 | $158,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 15,315 | $158,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 2,252 | $158,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 4,983 | $158,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 113,095 | $158,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 6,326 | $157,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 15,657 | $157,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 860 | $157,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 9,441 | $157,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 4,707 | $157,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 5,586 | $157,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 3,250 | $157,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 4,635 | $157,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 16,841 | $157,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 17,429 | $157,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 5,544 | $157,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 14,058 | $157,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 6,500 | $157,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 11,000 | $155,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 9,987 | $155,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 5,951 | $155,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 6,079 | $155,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 10,395 | $154,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 2,000 | $154,000 | thousands by filing date | put |
| BLACKROCK INC CL A COM | 09247X101 | COM | 300 | $154,000 | thousands by filing date | put |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 1,488 | $153,000 | thousands by filing date | |
| BANK OF N T BUTTERFIELD & SO | G0772R208 | SHS NEW | 4,180 | $152,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 12,120 | $152,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 6,200 | $151,000 | thousands by filing date | put |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 18,440 | $151,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 3,278 | $151,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 21,637 | $151,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 70,000 | $151,000 | thousands by filing date | put |
| NUTRI SYS INC NEW | 67069D108 | COM | 2,866 | $151,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 2,490 | $150,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 2,580 | $150,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 7,554 | $150,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 7,725 | $150,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 1,597 | $150,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 4,674 | $149,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 7,400 | $149,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 3,383 | $149,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 12,360 | $149,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 2,683 | $149,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 1,300 | $149,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 5,446 | $149,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 11,359 | $149,000 | thousands by filing date | |
| ENVISION HEALTHCARE CORP | 29414D100 | COM | 4,300 | $149,000 | thousands by filing date | call |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 20,359 | $149,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 3,220 | $149,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 2,314 | $149,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E877 | DLY JR GOLD 3X | 2,896 | $149,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V806 | MFS SYS COR EQ | 1,994 | $149,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 2,876 | $148,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 5,369 | $147,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 4,655 | $147,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 3,327 | $147,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 4,635 | $147,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 4,868 | $147,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 10,383 | $146,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 5,741 | $146,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 5,421 | $145,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 1,423 | $145,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 6,905 | $145,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 1,861 | $145,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 9,560 | $144,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,682 | $144,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 631 | $144,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 21,316 | $143,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 5,562 | $143,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 5,470 | $143,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 6,674 | $143,000 | thousands by filing date | |
| PROSHARES TR II | 74347W221 | ULTRAPRO 3X CR | 3,840 | $143,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 1,398 | $142,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 3,600 | $142,000 | thousands by filing date | call |
| HMS HLDGS CORP | 40425J101 | COM | 8,416 | $142,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 1,516 | $142,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 46,902 | $142,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 25,000 | $142,000 | thousands by filing date | put |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 50,283 | $142,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 10,175 | $142,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 1,000 | $141,000 | thousands by filing date | put |
| ARCBEST CORP COM | 03937C105 | Stock | 3,944 | $141,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 2,185 | $141,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 12,164 | $141,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 3,383 | $140,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 9,973 | $140,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 11,519 | $140,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 9,533 | $140,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 2,293 | $140,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 3,687 | $139,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 4,946 | $139,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 9,364 | $139,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 12,047 | $139,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 2,760 | $139,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 26,948 | $139,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 310,000 | $138,000 | thousands by filing date | principal |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 41,159 | $138,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 19,180 | $138,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 5,669 | $138,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 16,805 | $137,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 3,726 | $137,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 1,966 | $137,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 4,625 | $137,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 2,806 | $136,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 27,500 | $136,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 1,702 | $136,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 162,068 | $136,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 49,319 | $136,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 4,247 | $136,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 15,730 | $135,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 20,000 | $135,000 | thousands by filing date | put |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 29,035 | $135,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 2,778 | $135,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 1,600 | $134,000 | thousands by filing date | put |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 9,560 | $134,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 3,622 | $134,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 13,528 | $133,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 1,075 | $132,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 2,781 | $132,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 9,384 | $132,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 1,770 | $132,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 1,400 | $131,000 | thousands by filing date | call |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 2,286 | $130,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 5,696 | $130,000 | thousands by filing date | |
| ISHARES EDGE U.S. FIXED INCOME BALANCED RISK ETF | 46431W846 | ETF | 1,300 | $130,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 5,475 | $129,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 2,973 | $129,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 8,170 | $129,000 | thousands by filing date | |
| GNC Holdings | 36191GAB3 | CONV BOND | 300,000 | $129,000 | thousands by filing date | principal |
| FABRINET SHS | G3323L100 | Stock | 4,474 | $128,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 5,596 | $128,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 3,746 | $128,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 6,570 | $128,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 4,590 | $128,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 9,690 | $128,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 5,240 | $128,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 6,595 | $127,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 7,086 | $127,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 12,436 | $127,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 4,275 | $127,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 7,263 | $127,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 3,843 | $127,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 742 | $126,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 4,299 | $125,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 5,437 | $125,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 8,312 | $125,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 15,192 | $124,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 4,725 | $124,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 536,300 | $124,000 | thousands by filing date | put |
| SPOK HLDGS INC COM | 84863T106 | Stock | 7,800 | $122,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 5,643 | $122,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 43,715 | $122,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 6,462 | $122,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 2,063 | $121,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 5,938 | $121,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 19,674 | $121,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 5,149 | $120,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 6,450 | $120,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 6,213 | $120,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 11,737 | $120,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 64,288 | $120,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 12,318 | $119,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 4,748 | $119,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,500 | $118,000 | thousands by filing date | call |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 600 | $118,000 | thousands by filing date | put |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 3,647 | $118,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 1,939 | $118,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 9,307 | $118,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 981 | $118,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 13,215 | $118,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 7,035 | $118,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 5,881 | $118,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 2,035 | $118,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 800 | $117,000 | thousands by filing date | put |
| CARGURUS INC COM CL A | 141788109 | Stock | 3,911 | $117,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 2,816 | $117,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 3,921 | $117,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 1,348 | $117,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 1,218 | $117,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 2,430 | $116,000 | thousands by filing date | |
| INNOSPEC INC | 45768S105 | COM | 1,637 | $116,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 2,417 | $116,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 5,969 | $116,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 35,502 | $116,000 | thousands by filing date | |
| POWERSHARES S&P 500 ENHANCED VALUE PORTFOLIO | 73936Q694 | ETF | 3,325 | $116,000 | thousands by filing date | |
| BLUE BUFFALO PET PRODS INC | 09531U102 | COM | 3,516 | $115,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 5,000 | $115,000 | thousands by filing date | put |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 9,038 | $115,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 3,305 | $114,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 46,305 | $114,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 3,409 | $114,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 49,900 | $114,000 | thousands by filing date | call |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 13,689 | $113,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 3,231 | $113,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 9,529 | $113,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 2,119 | $113,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 8,394 | $113,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 1,374 | $113,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 10,000 | $112,000 | thousands by filing date | call |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 21,251 | $112,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 1,609 | $112,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 5,452 | $112,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 7,474 | $112,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 25,561 | $112,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 7,658 | $112,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 5,000 | $111,000 | thousands by filing date | put |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 5,000 | $111,000 | thousands by filing date | call |
| AH RLTY TR INC | 04208T108 | COM | 7,135 | $111,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 3,102 | $111,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 20,150 | $111,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 2,877 | $111,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 14,792 | $111,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 1,800 | $110,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 2,753 | $110,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 2,734 | $110,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 1,715 | $109,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 8,133 | $109,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 1,157 | $109,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 1,253 | $109,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 3,917 | $109,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 12,057 | $109,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 3,664 | $109,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 36,184 | $109,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 4,246 | $109,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 3,079 | $108,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 3,640 | $108,000 | thousands by filing date | |
| USCF FDS TR | 91733T307 | US 3X OIL FD | 2,445 | $108,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 162,079 | $108,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 2,326 | $107,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 1,370 | $107,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 10,628 | $107,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 5,507 | $107,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 13,860 | $107,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 1,273 | $107,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 27,350 | $107,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 4,000 | $107,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 64,876 | $107,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 6,975 | $106,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 7,278 | $106,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 8,977 | $106,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 3,671 | $106,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 8,601 | $106,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,775 | $106,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 95,326 | $106,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 4,558 | $105,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 4,088 | $105,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 17,952 | $105,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 7,088 | $105,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 18,724 | $105,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 75,416 | $105,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 4,319 | $104,000 | thousands by filing date | call |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 5,025 | $104,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 48,548 | $104,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 8,924 | $104,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 11,574 | $103,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 5,092 | $103,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 15,430 | $103,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 14,203 | $102,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 8,444 | $102,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 2,746 | $102,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 3,014 | $102,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 5,503 | $102,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 6,619 | $102,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 18,757 | $102,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 6,887 | $101,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 23,683 | $101,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 4,766 | $101,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 3,353 | $101,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 3,592 | $101,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 8,009 | $101,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 24,662 | $101,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 11,093 | $101,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 3,003 | $101,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 1,500 | $100,000 | thousands by filing date | put |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 3,747 | $100,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 23,011 | $100,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 4,407 | $100,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 35,367 | $100,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 3,605 | $100,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 1,266 | $100,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 6,407 | $99,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 5,181 | $99,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 1,917 | $99,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 5,036 | $99,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 3,475 | $99,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 3,223 | $99,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 7,293 | $99,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 1,665 | $99,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 6,375 | $99,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 51,543 | $99,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 5,606 | $99,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 871 | $98,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 9,682 | $98,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 11,079 | $98,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 11,392 | $98,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 5,024 | $98,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 41,145 | $98,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 25,088 | $98,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 3,900 | $98,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 16,000 | $97,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 8,997 | $97,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 7,742 | $97,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 2,922 | $97,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 2,116 | $97,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 10,902 | $96,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 694 | $96,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 9,307 | $96,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 3,940 | $96,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 21,625 | $96,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 8,110 | $96,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 5,242 | $96,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 45,489 | $96,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 1,622 | $96,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 3,467 | $96,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 4,280 | $95,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 2,111 | $95,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 5,963 | $95,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 2,577 | $95,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 7,057 | $95,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 2,365 | $95,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 28,640 | $94,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 23,562 | $94,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 4,608 | $94,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 2,579 | $94,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 3,180 | $94,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 4,949 | $94,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 40,984 | $94,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $94,000 | thousands by filing date | principal |
| PEAK RESORTS INC | 70469L100 | COM | 17,541 | $94,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 227 | $94,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 921 | $93,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 3,484 | $93,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 3,219 | $93,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 120,000 | $93,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90274D176 | VELOCITYSHS LONG | 3,057 | $93,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 600 | $92,000 | thousands by filing date | put |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 1,200 | $92,000 | thousands by filing date | put |
| BELDEN INC COM | 077454106 | Stock | 1,188 | $92,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 5,550 | $92,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 2,263 | $92,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 8,439 | $92,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 19,400 | $92,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 3,730 | $92,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 2,303 | $92,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 6,000 | $92,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 6,699 | $91,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 10,083 | $91,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 8,600 | $91,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 9,060 | $91,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 1,484 | $91,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 2,087 | $91,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 3,096 | $91,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 4,958 | $90,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 25,004 | $90,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 2,514 | $90,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 38,225 | $90,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 3,432 | $90,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 7,294 | $90,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 5,921 | $90,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 10,871 | $90,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 4,194 | $90,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 25,007 | $90,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 2,954 | $90,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 38,003 | $90,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 7,765 | $90,000 | thousands by filing date | |
| GUGGENHEIM S&P 100 EQUAL WEIGHT ETF | 78355W478 | ETF | 2,749 | $90,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 1,408 | $89,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 3,065 | $89,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 3,228 | $89,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 1,974 | $89,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 13,912 | $89,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 12,911 | $89,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 6,940 | $89,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 2,288 | $89,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 6,598 | $89,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 1,815 | $88,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 4,608 | $88,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 5,220 | $88,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 23,210 | $88,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 4,737 | $88,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 6,541 | $88,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 21,137 | $88,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 50,000 | $88,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 1,200 | $88,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 172,650 | $88,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 3,333 | $87,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 4,107 | $87,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 24,337 | $87,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 1,557 | $87,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 13,614 | $87,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 4,401 | $87,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 5,554 | $86,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 2,969 | $86,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 46,447 | $86,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 8,946 | $86,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 4,562 | $85,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 3,903 | $85,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 2,011 | $85,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 34,364 | $85,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 2,996 | $85,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 1,689 | $85,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 2,380 | $85,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 13,700 | $85,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 2,352 | $84,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 390 | $84,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 120,115 | $84,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 7,658 | $84,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 2,583 | $84,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 2,540 | $84,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 18,603 | $83,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 22,579 | $83,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 1,627 | $83,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 17,200 | $83,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 2,402 | $83,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 1,125 | $83,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 105,215 | $83,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 38,543 | $83,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 4,625 | $83,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 4,889 | $83,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 6,015 | $82,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 3,284 | $82,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 817 | $82,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 2,160 | $82,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 13,725 | $82,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 5,997 | $82,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 2,836 | $82,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 2,987 | $82,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-18-002511 | this filing | 2018-02-14 | acceptance time not in the bulk data set |