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 |
|---|---|---|---|---|---|---|
| FREIGHTCAR AMER INC | 357023100 | COM | 2,375 | $41,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 1,633 | $41,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 6,332 | $41,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 1,001 | $41,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 1,806 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 1,489 | $41,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 1,873 | $41,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 642 | $41,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 4,312 | $41,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 4,057 | $41,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 6,283 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 3,139 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 1,141 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 1,313 | $41,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 2,133 | $41,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,103 | $41,000 | thousands by filing date | |
| ADVISORSHARES NEW TECH AND MEDIA ETF | 00768Y552 | ETF | 1,913 | $41,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 2,173 | $41,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 4,255 | $41,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 693 | $41,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M864 | LBT VEN COM B NE | 758 | $41,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 897 | $40,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 553 | $40,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 903 | $40,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 18,000 | $40,000 | thousands by filing date | principal |
| EXPRESS INC | 30219E103 | COMMON STOCK | 3,880 | $40,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 1,272 | $40,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 173,093 | $40,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 1,542 | $40,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 825 | $40,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 2,140 | $40,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 3,693 | $40,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 99,101 | $40,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 2,112 | $40,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 4,401 | $40,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 1,252 | $40,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL ROTN | 00400R866 | CEF | 1,591 | $40,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 4,333 | $39,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 9 | $39,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 6,459 | $39,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 845 | $39,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 1,409 | $39,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,134 | $39,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 27,856 | $39,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 5,897 | $39,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 1,580 | $39,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 7,000 | $39,000 | thousands by filing date | principal |
| GUARANTY BANCORP | 40075T607 | COM | 1,422 | $39,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 1,151 | $39,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 7,668 | $39,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 5,203 | $39,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 1,679 | $39,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 1,413 | $39,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 216 | $39,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 68,000 | $39,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 2,293 | $39,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 1,075 | $39,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,937 | $38,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 2,591 | $38,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,950 | $38,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 2,392 | $38,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 1,822 | $38,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 3,060 | $38,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 3,708 | $38,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 5,350 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 1,432 | $38,000 | thousands by filing date | |
| ETF MANAGER GROUP COMMODITY | 26923H101 | SIT RISING RTE | 1,580 | $38,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K117 | DAILY NAT GAS RE | 1,626 | $38,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q506 | DIVRSFD RT INT | 1,278 | $38,000 | thousands by filing date | |
| ISHARES TR | 46435G565 | MLTFCT HLTCARE | 1,214 | $38,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L792 | ETRACS 2XLEV | 700 | $38,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 677 | $37,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 2,830 | $37,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 1,296 | $37,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 2,007 | $37,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 6,042 | $37,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 1,559 | $37,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 2,289 | $37,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,957 | $37,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,094 | $37,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 2,208 | $37,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 1,630 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 635 | $37,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 1,946 | $37,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 6,502 | $37,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,093 | $37,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 881 | $37,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 17,100 | $37,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,358 | $37,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 1,867 | $37,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 10,926 | $37,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 20,000 | $37,000 | thousands by filing date | principal |
| AV HOMES INC | 00234P102 | COM | 2,208 | $37,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 1,326 | $37,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 1,502 | $37,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 2,792 | $37,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 1,665 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 510 | $37,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 2,985 | $36,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,478 | $36,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,877 | $36,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 1,706 | $36,000 | thousands by filing date | |
| COMCAST HOLDINGS CORP | 200300507 | ZONES CV2% PCS | 608 | $36,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 6,435 | $36,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 11,721 | $36,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 5,031 | $36,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 27,400 | $36,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 1,775 | $36,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 3,186 | $36,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 4,188 | $36,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 2,184 | $36,000 | thousands by filing date | |
| PHAXIAM THERAPEUTICS S A | 29604W108 | SPONSORED ADR | 1,637 | $36,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 32,923 | $36,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 2,323 | $36,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 2,785 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 1,000 | $35,000 | thousands by filing date | put |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,964 | $35,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 847 | $35,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,703 | $35,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 4,000 | $35,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 1,061 | $35,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 955 | $35,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 941 | $35,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 92,297 | $35,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,733 | $35,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 838 | $35,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 337 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 3,871 | $35,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 3,514 | $35,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 10,872 | $35,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 9,765 | $35,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 2,971 | $35,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 15,052 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 2,076 | $35,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 961 | $35,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 500 | $34,000 | thousands by filing date | put |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 1,888 | $34,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 780 | $34,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 1,848 | $34,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 25,360 | $34,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,928 | $34,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 911 | $34,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,270 | $34,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,207 | $34,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 12,720 | $34,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 3,600 | $34,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,704 | $34,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 1,274 | $34,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 3,305 | $34,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 2,092 | $34,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 14,615 | $34,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES LTD | 57778L103 | COM | 523 | $34,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 1,807 | $34,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 30 | $34,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,272 | $34,000 | thousands by filing date | |
| WISDOMTREE STRONG DOLLAR EM | 97717X487 | ETP | 1,201 | $34,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 2,822 | $33,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,305 | $33,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 941 | $33,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 1,128 | $33,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 1,354 | $33,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 958 | $33,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,669 | $33,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 2,000 | $33,000 | thousands by filing date | put |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 15,183 | $33,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 4,300 | $33,000 | thousands by filing date | call |
| BAZAARVOICE INC | 073271108 | COM | 5,914 | $33,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 4,085 | $33,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 12,883 | $33,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 5,081 | $33,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 2,240 | $33,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 2,038 | $33,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P163 | IPTH SUGAR ETN | 1,442 | $33,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 6,628 | $33,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 5,544 | $33,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 264 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 1,117 | $33,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L201 | UNIT 07/29/2020 | 4,283 | $33,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T332 | NT BCOMCL 36 | 927 | $33,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 2,000 | $32,000 | thousands by filing date | put |
| BANDWIDTH INC | 05988J103 | COM CL A | 1,369 | $32,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 774 | $32,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 2,455 | $32,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 2,679 | $32,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 1,212 | $32,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 2,752 | $32,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 724 | $32,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 2,296 | $32,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 3,049 | $32,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 1,390 | $32,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 62,954 | $32,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 4,831 | $32,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 7,520 | $32,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 3,037 | $32,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 1,883 | $31,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,926 | $31,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 1,792 | $31,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 407 | $31,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 1,248 | $31,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 6,353 | $31,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,382 | $31,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 987 | $31,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 1,622 | $31,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 11,732 | $31,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 44,000 | $31,000 | thousands by filing date | principal |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 350 | $31,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 1,314 | $31,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 945 | $31,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 2,159 | $31,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 3,150 | $31,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 4,342 | $31,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 2,204 | $31,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 11,268 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 848 | $31,000 | thousands by filing date | |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 1,449 | $31,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 3,262 | $31,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 2,609 | $31,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF T | 73935B862 | VAR RAT INV GR | 1,247 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,502 | $31,000 | thousands by filing date | |
| PROSHARES TR II | 74347W163 | ULTRA VIX SHORT | 3,077 | $31,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 1,880 | $31,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 1,513 | $31,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 9,456 | $31,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 1,114 | $31,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 2,144 | $31,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 850 | $30,000 | thousands by filing date | |
| HEALTHCARE | 42225P501 | CL A NEW | 1,000 | $30,000 | thousands by filing date | put |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 3,886 | $30,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 594 | $30,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 1,031 | $30,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 23,428 | $30,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 7,262 | $30,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 1,627 | $30,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 1,366 | $30,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 982 | $30,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 3,784 | $30,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 10,282 | $30,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 11,176 | $30,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 1,466 | $30,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 43,895 | $30,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 7,092 | $30,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 14,986 | $30,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 6,903 | $30,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 2,805 | $30,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 813 | $30,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,872 | $30,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 3,317 | $30,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 3,859 | $30,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 490 | $30,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 1,238 | $30,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q494 | BUZZ US SMT LDR | 950 | $30,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 200 | $30,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 1,480 | $30,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRADED FD | 18386R403 | GUGGENHEIM 2025 | 1,200 | $30,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 651 | $29,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 9,092 | $29,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 2,840 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 1,000 | $29,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 872 | $29,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 3,099 | $29,000 | thousands by filing date | |
| SAILPOINT TECHNOLOGIES HOLDING | 78781P105 | COM | 2,000 | $29,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 897 | $29,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 750 | $29,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,042 | $29,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 5,521 | $29,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 730 | $29,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 2,312 | $29,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 1,931 | $29,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 3,561 | $29,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 2,825 | $29,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 4,158 | $29,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 24,090 | $29,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 8,439 | $29,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 2,949 | $29,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 12,968 | $29,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 672 | $29,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 2,000 | $29,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 6,439 | $29,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,504 | $29,000 | thousands by filing date | |
| Call - MTB $73.86 Exp 12/23/2018 | 55261F112 | Warrants | 295 | $29,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 750 | $29,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 1,448 | $29,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,296 | $29,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 20,650 | $29,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 166 | $29,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 4,800 | $29,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 4,503 | $29,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 1,312 | $29,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 28,000 | $29,000 | thousands by filing date | principal |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 1,240 | $29,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 1,905 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 618 | $28,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 808 | $28,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,967 | $28,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 3,989 | $28,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 4,425 | $28,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,113 | $28,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 1,698 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 1,098 | $28,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 736 | $28,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 215 | $28,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 572 | $28,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,195 | $28,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 3,274 | $28,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,500 | $28,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 698 | $28,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 1,997 | $28,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 1,163 | $28,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 2,425 | $28,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,973 | $28,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 2,209 | $28,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 2,643 | $28,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 9,000 | $28,000 | thousands by filing date | principal |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 242 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 2,393 | $28,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,441 | $28,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 1,184 | $28,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 2,824 | $28,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E828 | DAILY RUSSIA 3X | 1,215 | $28,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 541 | $27,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 352 | $27,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,313 | $27,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 2,051 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347X815 | ULTRA MDCAP400 | 229 | $27,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 1,383 | $27,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 2,959 | $27,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 1,354 | $27,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 10,773 | $27,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 53,055 | $27,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 8,240 | $27,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 1,208 | $27,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 12,178 | $27,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 2,418 | $27,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 2,680 | $27,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 888 | $27,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 7,524 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 653 | $27,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 2,358 | $27,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 4,816 | $27,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES IN | 18449C500 | COM PAR NEW | 16,916 | $27,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,390 | $27,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 6,437 | $27,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D432 | ETRACS MNTLY PAY | 1,513 | $27,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H101 | COM | 13,318 | $27,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 10,793 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 2,328 | $27,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 1,048 | $27,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 3,326 | $26,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 5,942 | $26,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 1,422 | $26,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,741 | $26,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,200 | $26,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 1,985 | $26,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 1,042 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 313 | $26,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767850 | MSCI CHINA CLEAN | 1,029 | $26,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 18,601 | $26,000 | thousands by filing date | |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 412 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P806 | RIVRFRNT DYN EUR | 401 | $26,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,531 | $26,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 12,079 | $26,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 2,600 | $26,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,236 | $26,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 1,744 | $26,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 7,195 | $26,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 3,840 | $26,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,138 | $26,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 734 | $26,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 2,170 | $26,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 2,455 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 1,177 | $26,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 837 | $26,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 2,106 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 847 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 420 | $25,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 2,533 | $25,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 746 | $25,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 1,172 | $25,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 949 | $25,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 2,541 | $25,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 1,882 | $25,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 9,353 | $25,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 5,464 | $25,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 771 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 1,975 | $25,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 1,183 | $25,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 2,272 | $25,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 19,476 | $25,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,088 | $25,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 2,978 | $25,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H483 | PS CMDT DS ETN | 755 | $25,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 841 | $25,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 430 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 724 | $25,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 3,587 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| NET ELEMENT INC | 64111R300 | COM | 2,294 | $25,000 | thousands by filing date | |
| Enterprise Federal Bancorp | 26952G107 | Common | 1,524 | $25,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D424 | 2XLEVE ETRACS WF | 1,505 | $25,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T290 | XLNKS AMLP ETN36 | 1,306 | $25,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 2,722 | $24,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 56,691 | $24,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 861 | $24,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 2,713 | $24,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 1,086 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 730 | $24,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 541 | $24,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 1,584 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,390 | $24,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,539 | $24,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 1,045 | $24,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 1,120 | $24,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 8,183 | $24,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 1,019 | $24,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 841 | $24,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 2,646 | $24,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,311 | $24,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,222 | $24,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 2,909 | $24,000 | thousands by filing date | |
| Call - ZION $36.27 Exp 11/14/2018 | 989701131 | Warrants | 1,600 | $24,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 1,757 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 1,178 | $24,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 11,693 | $24,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 5,204 | $24,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 4,758 | $24,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 5,407 | $24,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 2,985 | $24,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 4,444 | $24,000 | thousands by filing date | |
| CAPITOL INVT CORP IV | G18920119 | UNIT 99/99/9999 | 2,350 | $24,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 25,000 | $24,000 | thousands by filing date | principal |
| Dws Strategic Muni Incm | 25159F102 | COM | 2,000 | $24,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 4,424 | $24,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 541 | $24,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N102 | SHS | 2,500 | $24,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B102 | COM | 2,290 | $24,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 3,364 | $24,000 | thousands by filing date | |
| M I ACQUISITIONS INC | 55304A104 | COM | 2,326 | $24,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 2,231 | $23,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 2,767 | $23,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 926 | $23,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 176 | $23,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 1,923 | $23,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 4,501 | $23,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 897 | $23,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,365 | $23,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 467 | $23,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 1,240 | $23,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 750 | $23,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 1,626 | $23,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 20,504 | $23,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 4,793 | $23,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 1,276 | $23,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 3,983 | $23,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 5,675 | $23,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 4,158 | $23,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 24,395 | $23,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 2,676 | $23,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 26,720 | $23,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 2,194 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 2,697 | $23,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 1,936 | $23,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 2,332 | $23,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 2,667 | $23,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 2,500 | $23,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 1,158 | $23,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 2,400 | $23,000 | thousands by filing date | put |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 5,804 | $23,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 1,661 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A194 | ULTRASHORT GOLD | 1,658 | $23,000 | thousands by filing date | |
| INNOVATOR LUNT LOW VOL/HIGH BETA TACTICAL ETF | 287711790 | ETF | 713 | $23,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 3,048 | $22,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 698 | $22,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 1,051 | $22,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 1,153 | $22,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 1,823 | $22,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 670 | $22,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 1,030 | $22,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 437 | $22,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 1,073 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 1,031 | $22,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 1,767 | $22,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 1,477 | $22,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 19,063 | $22,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 838 | $22,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 18,307 | $22,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 25,252 | $22,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,432 | $22,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 7,000 | $22,000 | thousands by filing date | principal |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 8,359 | $22,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 2,867 | $22,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 445 | $22,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,109 | $22,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 1,976 | $22,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 843 | $22,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 2,929 | $22,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 29,398 | $22,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 25,630 | $22,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 1,600 | $22,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP | 420870206 | UNIT 10/19/2022 | 2,248 | $22,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 835 | $22,000 | 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 |