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 |
|---|---|---|---|---|---|---|
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 986 | $22,000 | thousands by filing date | |
| ETF SER SOLUTIONS APTUS FORTIFIED | 26922A610 | Stock | 800 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 616 | $22,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 311 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 712 | $22,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P104 | SHS | 2,100 | $22,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 495 | $21,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 352 | $21,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 1,511 | $21,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 4,511 | $21,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 635 | $21,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 3,444 | $21,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 30,192 | $21,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 581 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 855 | $21,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 783 | $21,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 5,209 | $21,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 2,024 | $21,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,620 | $21,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 1,747 | $21,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 2,278 | $21,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 1,286 | $21,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,929 | $21,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 20,975 | $21,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 734 | $21,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 1,519 | $21,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 3,828 | $21,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 12,591 | $21,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 4,207 | $21,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 8,091 | $21,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 1,673 | $21,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 2,019 | $21,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 602 | $21,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 583 | $21,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,808 | $21,000 | thousands by filing date | |
| Poage Bankshares, Inc. | 730206109 | Common Stock | 1,015 | $21,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 2,573 | $21,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 2,953 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,050 | $21,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 2,114 | $21,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 1,358 | $21,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 5,465 | $21,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 10,925 | $21,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 1,703 | $21,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 742 | $21,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 2,158 | $21,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 579 | $21,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 1,844 | $21,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | G62848117 | UNIT 99/99/9999 | 2,044 | $21,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760137 | SHS NEW | 19,773 | $21,000 | thousands by filing date | |
| MATLIN & PARTNE | 57682V205 | Common Stock | 2,090 | $21,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 616 | $21,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 3,435 | $20,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 400 | $20,000 | thousands by filing date | call |
| WARRIOR MET COAL INC | 93627C101 | COM | 803 | $20,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 876 | $20,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 907 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 561 | $20,000 | thousands by filing date | |
| CAMBRIA EMERGING SHAREHOLDER YIELD ETF | 132061706 | ETF | 580 | $20,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,473 | $20,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 716 | $20,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,491 | $20,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 3,902 | $20,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 3,721 | $20,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 1,869 | $20,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 3,059 | $20,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 2,009 | $20,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 990 | $20,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 1,214 | $20,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 4,856 | $20,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 39,278 | $20,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 20,000 | $20,000 | thousands by filing date | principal |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 1,307 | $20,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 515 | $20,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 990 | $20,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 1,255 | $20,000 | thousands by filing date | |
| LONG IS ICED TEA CORP | 54267E104 | COM | 3,879 | $20,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 1,974 | $20,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 666 | $20,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 383 | $20,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 800 | $20,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A203 | UNIT 01/15/2024 | 2,012 | $20,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A103 | COM CL A | 2,025 | $20,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 627 | $19,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 3,701 | $19,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 296 | $19,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 742 | $19,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 1,308 | $19,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 9,216 | $19,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 100 | $19,000 | thousands by filing date | put |
| ALLIENT INC | 019330109 | COM | 565 | $19,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 698 | $19,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 5,847 | $19,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 2,102 | $19,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 515 | $19,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 766 | $19,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 944 | $19,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 16,534 | $19,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,107 | $19,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 1,755 | $19,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 6,359 | $19,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 18,369 | $19,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 1,555 | $19,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 8,124 | $19,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 3,581 | $19,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 704 | $19,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 1,528 | $19,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 301 | $19,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 48,990 | $19,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 1,156 | $19,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 1,337 | $19,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 590 | $19,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,055 | $19,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 1,782 | $19,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 8,497 | $19,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 1,644 | $19,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 17,360 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 564 | $19,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 843 | $19,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V101 | COM | 1,860 | $19,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 1,882 | $19,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 506 | $18,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 962 | $18,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 617 | $18,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,625 | $18,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 2,000 | $18,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,283 | $18,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 2,615 | $18,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 2,033 | $18,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 792 | $18,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 2,821 | $18,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,306 | $18,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 3,599 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 325 | $18,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,550 | $18,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 17,282 | $18,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 5,085 | $18,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 8,437 | $18,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 1,617 | $18,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,455 | $18,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 7,365 | $18,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 20,000 | $18,000 | thousands by filing date | principal |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 1,513 | $18,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 5,952 | $18,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 4,550 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G878 | IPATH GEMS ASIA8 | 422 | $18,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 970 | $18,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 757 | $18,000 | thousands by filing date | |
| TOR MINERALS INTL INC | 890878309 | COM NEW | 3,230 | $18,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 1,614 | $18,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 499 | $18,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 18,737 | $18,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 26,784 | $18,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 1,754 | $18,000 | thousands by filing date | |
| CYREN LTD | M26895108 | SHS | 7,320 | $18,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 825 | $18,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 2,344 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 475 | $18,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 2,184 | $18,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 3,695 | $18,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L109 | DEV EX US ETF | 600 | $18,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 571 | $18,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P138 | *W EXP 11/23/202 | 9,652 | $18,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 1,357 | $17,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 100 | $17,000 | thousands by filing date | put |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 187 | $17,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 817 | $17,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 5,378 | $17,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 1,970 | $17,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 459 | $17,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 534 | $17,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 2,259 | $17,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 3,873 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 784 | $17,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 577 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 259 | $17,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 923 | $17,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,390 | $17,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 1,582 | $17,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 44,043 | $17,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 16,389 | $17,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 2,308 | $17,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 559 | $17,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 1,314 | $17,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 13,658 | $17,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 869 | $17,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 21,233 | $17,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 239 | $17,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 3,312 | $17,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 2,847 | $17,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $17,000 | thousands by filing date | principal |
| NORTHEAST BANCORP | 663904209 | COM | 716 | $17,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 15,570 | $17,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 2,995 | $17,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,143 | $17,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,822 | $17,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 3,212 | $17,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 4,082 | $17,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,050 | $17,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 1,323 | $17,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,245 | $17,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 2,247 | $17,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 1,907 | $17,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 573 | $17,000 | thousands by filing date | |
| LEVEL BRANDS INC | 52730Q209 | COM NEW | 3,792 | $17,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 700 | $17,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V206 | UNIT 99/99/9999 | 1,700 | $17,000 | thousands by filing date | |
| WCF BANCORP INC | 92940L103 | COM | 1,735 | $17,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 1,963 | $17,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 504 | $17,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 100 | $16,000 | thousands by filing date | put |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,768 | $16,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 1,178 | $16,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 1,798 | $16,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 762 | $16,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 222 | $16,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 628 | $16,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 3,843 | $16,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 687 | $16,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 2,210 | $16,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,683 | $16,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 1,201 | $16,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 531 | $16,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 1,949 | $16,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 1,591 | $16,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 2,248 | $16,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 1,197 | $16,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 955 | $16,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 791 | $16,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 460 | $16,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 470 | $16,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 20,943 | $16,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 4,964 | $16,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 694 | $16,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 23,781 | $16,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 87,963 | $16,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 4,247 | $16,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 1,183 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 350 | $16,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 28,499 | $16,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 1,098 | $16,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 620 | $16,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 894 | $16,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 856 | $16,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 10,000 | $16,000 | thousands by filing date | principal |
| WILLSCOT CORP | 971375126 | COM | 1,286 | $16,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 386 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E653 | DLY EUR STX 3X | 626 | $16,000 | thousands by filing date | |
| TINTRI INC | 88770Q105 | COM | 3,109 | $16,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 7,123 | $16,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR INDUSTRIALS ETF | 46435G557 | ETF | 508 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K760 | TECH BEAR 3X SHS | 2,353 | $16,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 100 | $15,000 | thousands by filing date | put |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 317 | $15,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 855 | $15,000 | thousands by filing date | |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 336 | $15,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 8,137 | $15,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 628 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 661 | $15,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,635 | $15,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 1,200 | $15,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 3,085 | $15,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 512 | $15,000 | thousands by filing date | |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 1,407 | $15,000 | thousands by filing date | |
| ALLIQUA BIOMEDICAL INC | 019621309 | COMMON STOCK | 8,053 | $15,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 50,915 | $15,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 3,119 | $15,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 448 | $15,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 187 | $15,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,800 | $15,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 3,700 | $15,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,424 | $15,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,127 | $15,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 412 | $15,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 220 | $15,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 600 | $15,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,000 | $15,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 4,975 | $15,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 35,644 | $15,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 511 | $15,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 1,480 | $15,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 8,949 | $15,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 1,404 | $15,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 2,112 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 394 | $15,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 2,678 | $15,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 4,866 | $15,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 3,713 | $15,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 980 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 1,410 | $15,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789126 | SHS | 1,366 | $15,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 7,536 | $15,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W123 | UNIT 03/22/2022 | 1,400 | $15,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 5,825 | $14,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 2,399 | $14,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 1,732 | $14,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 668 | $14,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 681 | $14,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 915 | $14,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 1,835 | $14,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 13,602 | $14,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,161 | $14,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 1,992 | $14,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 898 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 406 | $14,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 5,283 | $14,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,933 | $14,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 2,322 | $14,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 1,608 | $14,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 17,800 | $14,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 4,235 | $14,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 9,931 | $14,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 3,242 | $14,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 442 | $14,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 1,398 | $14,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 2,490 | $14,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 1,943 | $14,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 9,691 | $14,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 1,207 | $14,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 8,398 | $14,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 37,547 | $14,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 4,014 | $14,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 1,281 | $14,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 5,236 | $14,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 3,894 | $14,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 1,520 | $14,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 2,209 | $14,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 2,213 | $14,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,466 | $14,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 1,397 | $14,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 4,483 | $14,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 22,633 | $14,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 631 | $14,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 235 | $14,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 1,060 | $14,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 2,580 | $14,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 675 | $14,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 5,287 | $14,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 2,333 | $14,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 970 | $14,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 1,801 | $14,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 14,000 | $14,000 | thousands by filing date | principal |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 3,877 | $14,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 629 | $14,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 12,405 | $14,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 766 | $14,000 | thousands by filing date | |
| TOP SHIPS INC COM | Y8897Y701 | Stock | 56,772 | $14,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 2,460 | $13,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 6,046 | $13,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 500 | $13,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 1,000 | $13,000 | thousands by filing date | call |
| CHEMOCENTRYX INC | 16383L106 | COM | 2,265 | $13,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 1,312 | $13,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 575 | $13,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 2,492 | $13,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 224 | $13,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 1,925 | $13,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 6,502 | $13,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,650 | $13,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 4,017 | $13,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,492 | $13,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 798 | $13,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 1,108 | $13,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,346 | $13,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,284 | $13,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 3,064 | $13,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 731 | $13,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 7,681 | $13,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 4,978 | $13,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 1,389 | $13,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 13,248 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 700 | $13,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 4,955 | $13,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 3,700 | $13,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 8,489 | $13,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,751 | $13,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 1,654 | $13,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 5,000 | $13,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 41,967 | $13,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,934 | $13,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,512 | $13,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 2,809 | $13,000 | thousands by filing date | |
| CLEMENTIA PHARMACEUTICALS IN | 185575107 | COM | 725 | $13,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q403 | COM PAR | 5,437 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 849 | $13,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 3,648 | $13,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 7,782 | $13,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 949 | $13,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 9,697 | $13,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 1,386 | $13,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,439 | $13,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH X | 22539T399 | COM | 473 | $13,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 11,584 | $13,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 4,443 | $13,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E204 | UNIT 07/27/2022 | 1,300 | $13,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 511 | $13,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 1,063 | $13,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 3,923 | $13,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 2,919 | $13,000 | thousands by filing date | |
| I AM CAP ACQUISITION CO | 45074Q108 | COM | 1,370 | $13,000 | thousands by filing date | |
| ATLANTIC ACQUISITION CORP | 048206205 | UNIT 02/08/2019 | 1,300 | $13,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 4,819 | $12,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 439 | $12,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 488 | $12,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 1,185 | $12,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 901 | $12,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 279 | $12,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 3,000 | $12,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 1,192 | $12,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 3,752 | $12,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 2,566 | $12,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,598 | $12,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 11,600 | $12,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 3,539 | $12,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 380 | $12,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 1,530 | $12,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 7,782 | $12,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 1,194 | $12,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 486 | $12,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 2,104 | $12,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 4,983 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 363 | $12,000 | thousands by filing date | |
| LINIU TECHNOLOGY GROUP | G54971208 | SNC | 5,960 | $12,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 3,100 | $12,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,376 | $12,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 15,724 | $12,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 750 | $12,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 20,768 | $12,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 5,183 | $12,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 396 | $12,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 5,333 | $12,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L105 | COM | 1,200 | $12,000 | thousands by filing date | |
| SENTINEL ENERGY SVCS INC | G8062D128 | UNIT 11/02/2022 | 1,188 | $12,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 421 | $12,000 | thousands by filing date | |
| MABVAX THERAPEUTICS HLDGS INC COM NEW | 55414P504 | COM | 17,547 | $12,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 2,362 | $12,000 | thousands by filing date | |
| AMEDICA CORP | 023435407 | COM PAR | 3,562 | $12,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90270L354 | SER B LKD 46 | 355 | $12,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612109 | SHS | 3,726 | $12,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 17,800 | $12,000 | thousands by filing date | |
| YANGTZE RIV DEV LTD | 984752105 | COM | 1,346 | $12,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505772 | REX VOLMAX LNG | 1,015 | $12,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 33,958 | $12,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 1,261 | $11,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 1,749 | $11,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 1,396 | $11,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 200 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 399 | $11,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 5,754 | $11,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 4,897 | $11,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 407 | $11,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 2,903 | $11,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 927 | $11,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 656 | $11,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E869 | DAILY 500 1X ETF | 375 | $11,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 2,706 | $11,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 547 | $11,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 3,224 | $11,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 1,300 | $11,000 | thousands by filing date | put |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 4,811 | $11,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 5,178 | $11,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 786 | $11,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 166 | $11,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 577 | $11,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,401 | $11,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 6,635 | $11,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 7,176 | $11,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,665 | $11,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 229 | $11,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 3,935 | $11,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 171 | $11,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 5,613 | $11,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 8,557 | $11,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,480 | $11,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 20,228 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 373 | $11,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 661 | $11,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 535 | $11,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 120 | $11,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 3,764 | $11,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 2,641 | $11,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 10,556 | $11,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 2,877 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 162 | $11,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 5,928 | $11,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 5,086 | $11,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 1,530 | $11,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 4,709 | $11,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 396 | $11,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 1,204 | $11,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 3,000 | $11,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 1,210 | $11,000 | thousands by filing date | |
| SHINECO INC COM NEW | 824567200 | Stock | 4,763 | $11,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 492 | $11,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 500 | $11,000 | thousands by filing date | |
| SPDR SER TR | 78468R119 | S&P TECH H | 145 | $11,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 208 | $11,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E889 | PROSPOTS SPONR | 497 | $11,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 10,816 | $11,000 | thousands by filing date | |
| DRAPER OAKWOOD TECHNOLOGY | 26146L103 | COM CL A | 1,100 | $11,000 | 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 |