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 |
|---|---|---|---|---|---|---|
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 100 | $10,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 111 | $10,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 548 | $10,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 478 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 384 | $10,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 5,630 | $10,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 1,627 | $10,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,334 | $10,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 1,495 | $10,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 2,189 | $10,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 5,645 | $10,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 2,091 | $10,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 8,374 | $10,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 2,000 | $10,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 649 | $10,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 689 | $10,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 115 | $10,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 3,618 | $10,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 3,002 | $10,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 22,498 | $10,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,400 | $10,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 815 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 410 | $10,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 623 | $10,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,400 | $10,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 10,000 | $10,000 | thousands by filing date | principal |
| LONGFIN CORP CLASS A | 54304F106 | COMMON STOCK | 172 | $10,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,000 | $10,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 2,518 | $10,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 6,025 | $10,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 6,085 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 180 | $10,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 609 | $10,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 1,060 | $10,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 7,645 | $10,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 570 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 283 | $10,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 572 | $10,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 3,378 | $10,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D787 | VIX MID TERM | 1,705 | $10,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 6,334 | $10,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 503 | $10,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 2,379 | $10,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 441 | $10,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 3,053 | $10,000 | thousands by filing date | |
| NANOVIBRONIX INC | 63008J108 | COM | 2,156 | $10,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 4,257 | $10,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N303 | COM PAR | 1,244 | $10,000 | thousands by filing date | |
| INSPIREMD INC | 45779A804 | COM PAR | 81,851 | $10,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 4,271 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 579 | $10,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 2,726 | $10,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 1,719 | $10,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 6,304 | $10,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 6,228 | $10,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 2,253 | $10,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 2,519 | $10,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 903 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K166 | DAILY EUROPEAN | 211 | $10,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 4,195 | $10,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 4,482 | $10,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 5,487 | $10,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B201 | UNIT 99/99/9999 | 908 | $10,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 2,504 | $10,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 10,000 | $10,000 | thousands by filing date | principal |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 12,000 | $10,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRADED FD | 18386R205 | GUGGENHEIM BULET | 500 | $10,000 | thousands by filing date | |
| M I ACQUISITIONS INC | 55304A112 | *W EXP 11/15/202 | 29,700 | $10,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 324 | $9,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 675 | $9,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 461 | $9,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 100 | $9,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 272 | $9,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 157 | $9,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 2,294 | $9,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 506 | $9,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 2,091 | $9,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 3,357 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 300 | $9,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 646 | $9,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 2,300 | $9,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 447 | $9,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,225 | $9,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 6,488 | $9,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 1,163 | $9,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 3,804 | $9,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 917 | $9,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 364 | $9,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 345 | $9,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 571 | $9,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 2,252 | $9,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 600 | $9,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 1,885 | $9,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 823 | $9,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 1,513 | $9,000 | thousands by filing date | |
| Yogaworks, Inc. | 986005106 | com | 3,308 | $9,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 2,452 | $9,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 6,913 | $9,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 380 | $9,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 913 | $9,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 926 | $9,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 292 | $9,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 104 | $9,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 27,734 | $9,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 1,175 | $9,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 367 | $9,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 14,675 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 300 | $9,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 5,539 | $9,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,315 | $9,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 4,244 | $9,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 2,124 | $9,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 2,652 | $9,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 3,532 | $9,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 1,063 | $9,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 162 | $9,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 15,341 | $9,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 537 | $9,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 620 | $9,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 2,642 | $9,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 730 | $9,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 7,503 | $9,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 8,000 | $9,000 | thousands by filing date | principal |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 3,104 | $9,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 3,448 | $9,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 900 | $9,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 70 | $9,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 3,192 | $9,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 4,824 | $9,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H732 | QUTX RSK MNDGW | 319 | $9,000 | thousands by filing date | |
| ASV HLDGS INC | 00215L104 | COM | 857 | $9,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS LTD | M1492T105 | SHS | 1,140 | $9,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 8,000 | $9,000 | thousands by filing date | principal |
| TapImmune Inc | 876033408 | COM | 2,362 | $9,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 6,839 | $9,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 8,006 | $9,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108300 | YLDSHS SENIOR | 371 | $9,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 9,952 | $9,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 388 | $8,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 353 | $8,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 201 | $8,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,890 | $8,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 3,347 | $8,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 58 | $8,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 500 | $8,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 856 | $8,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 276 | $8,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 813 | $8,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 805 | $8,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 860 | $8,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H658 | INSPIRE GBL HOPE | 275 | $8,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,324 | $8,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 405 | $8,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 502 | $8,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,825 | $8,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 1,723 | $8,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 242 | $8,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 4,833 | $8,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 112 | $8,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 144 | $8,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 1,791 | $8,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 5,050 | $8,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 3,317 | $8,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 1,122 | $8,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 11,710 | $8,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 1,316 | $8,000 | thousands by filing date | |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 1,955 | $8,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 1,017 | $8,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 1,800 | $8,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 7,620 | $8,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 1,145 | $8,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,191 | $8,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 8,150 | $8,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 826 | $8,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 1,769 | $8,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 6,000 | $8,000 | thousands by filing date | principal |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,102 | $8,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 46,914 | $8,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 447 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 208 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 400 | $8,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 5,286 | $8,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 27,577 | $8,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 1,006 | $8,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 1,910 | $8,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,297 | $8,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 1,688 | $8,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 6,049 | $8,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 3,864 | $8,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 8,000 | $8,000 | thousands by filing date | principal |
| TPG PACE HLDGS CORP | G89827102 | UNIT 99/99/9999 | 770 | $8,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 437 | $8,000 | thousands by filing date | |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 245 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 383 | $8,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 2,255 | $8,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H716 | QUTX RSK MGDML | 300 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 324 | $8,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 3,096 | $8,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 902 | $8,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 2,665 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 500 | $8,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 38,554 | $8,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 40,085 | $8,000 | thousands by filing date | |
| ISHARES EDGE MSCI MIN VOL EAFE CURRENCY HEDGED ETF | 46435G714 | ETF | 287 | $8,000 | thousands by filing date | |
| MONSTER DIGITAL INC COM PAR NEW | 61174L501 | Stock | 13,655 | $8,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 2,345 | $8,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T606 | COM PAR | 8,031 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X396 | GBL EX US HDGD | 275 | $8,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 100 | $7,000 | thousands by filing date | put |
| GLAUKOS CORP COM | 377322102 | Stock | 286 | $7,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 100 | $7,000 | thousands by filing date | put |
| BLUE BIRD CORP | 095306106 | COM | 338 | $7,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 872 | $7,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 3,852 | $7,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 224 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 200 | $7,000 | thousands by filing date | put |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,743 | $7,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 419 | $7,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 268 | $7,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 1,350 | $7,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 2,067 | $7,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 996 | $7,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 150 | $7,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 291 | $7,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 447 | $7,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 4,295 | $7,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 3,008 | $7,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 2,107 | $7,000 | thousands by filing date | |
| ELTEK LTD | M40184208 | SHS | 1,717 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 200 | $7,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 3,800 | $7,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 2,000 | $7,000 | thousands by filing date | principal |
| Lee Enterprises Inc | 523768109 | COM | 3,158 | $7,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 1,702 | $7,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 200 | $7,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 1,326 | $7,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 187 | $7,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 1,900 | $7,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 2,668 | $7,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 2,227 | $7,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,683 | $7,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 520 | $7,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 6,375 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 300 | $7,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 102 | $7,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 8,622 | $7,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 7,951 | $7,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 665 | $7,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 6,184 | $7,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 1,000 | $7,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 736 | $7,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,000 | $7,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 415 | $7,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 5,016 | $7,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 3,275 | $7,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 590 | $7,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 235 | $7,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 2,069 | $7,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 42,491 | $7,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 211 | $7,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 1,818 | $7,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 425 | $7,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 2,062 | $7,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 3,711 | $7,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 6,423 | $7,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 21,592 | $7,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,509 | $7,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 391 | $7,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 3,392 | $7,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 13,905 | $7,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 1,925 | $7,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 1,302 | $7,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 228 | $7,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 1,888 | $7,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 304 | $7,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 4,379 | $7,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 4,198 | $7,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 1,970 | $7,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 5,527 | $7,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 6,310 | $7,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,000 | $7,000 | thousands by filing date | principal |
| MAGNEGAS CORP COM PAR | 55939L301 | Stock | 21,320 | $7,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 24,881 | $7,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A202 | UNIT 99/99/9999 | 644 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051796 | XTRACK MSCI MEX | 341 | $7,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 700 | $6,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 10,071 | $6,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,529 | $6,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 17,248 | $6,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 123 | $6,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 239 | $6,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 338 | $6,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 100 | $6,000 | thousands by filing date | put |
| CBS CORP NEW | 124857202 | CL B | 100 | $6,000 | thousands by filing date | call |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 112 | $6,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 119 | $6,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 288 | $6,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,608 | $6,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 510 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 177 | $6,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 1,894 | $6,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 4,516 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 55 | $6,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 324 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 215 | $6,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 227 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 180 | $6,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,821 | $6,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 180 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 96 | $6,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 244 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 136 | $6,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 8,861 | $6,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 1,821 | $6,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 629 | $6,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 152 | $6,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 5,000 | $6,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| XCEL BRANDS INC | 98400M101 | COM NEW | 1,955 | $6,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 1,505 | $6,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 437 | $6,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 122 | $6,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 368 | $6,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 2,893 | $6,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $6,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 877 | $6,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 227 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 345 | $6,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 3,982 | $6,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 2,329 | $6,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $6,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 79 | $6,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 341 | $6,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 139 | $6,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767801 | MSCI ALL CHINA | 215 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746L422 | IPATH S&P500 VIX | 200 | $6,000 | thousands by filing date | call |
| ZYMEWORKS INC | 98985W102 | COM | 812 | $6,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,458 | $6,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 4,371 | $6,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 1,949 | $6,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 3,585 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 364 | $6,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 9,468 | $6,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 5,603 | $6,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC | 29273B112 | *W EXP 05/08/202 | 4,410 | $6,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 650 | $6,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760110 | UNIT 99/99/9999 | 597 | $6,000 | thousands by filing date | |
| INDUSTREA ACQUISITION CORP | 45579J203 | UNIT 07/21/2024 | 600 | $6,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,565 | $6,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 1,533 | $6,000 | thousands by filing date | |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 3,808 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 195 | $6,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 285 | $6,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 2,047 | $6,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L208 | EMRG MKT DIV ETF | 190 | $6,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 328 | $6,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 3,757 | $6,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| TPG PACE ENERGY HLDGS CORP | 872656103 | CL A | 600 | $6,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H209 | COM NEW | 22,316 | $6,000 | thousands by filing date | |
| M III ACQUISITION CORP | 55378T104 | COM | 650 | $6,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 7,110 | $5,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 197 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 224 | $5,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 336 | $5,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 144 | $5,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 182 | $5,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 200 | $5,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y888 | SPECTRUM PFD | 53 | $5,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 449 | $5,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,900 | $5,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 1,922 | $5,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 1,797 | $5,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 200 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P785 | FTSE GERMANY | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R738 | CMN | 241 | $5,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 2,122 | $5,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 1,907 | $5,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 3,067 | $5,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 3,042 | $5,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 4,020 | $5,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 444 | $5,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 245 | $5,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 5,501 | $5,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 2,003 | $5,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 3,000 | $5,000 | thousands by filing date | principal |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 204 | $5,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 2,668 | $5,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 5,000 | $5,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 4,000 | $5,000 | thousands by filing date | principal |
| GLYCOMIMETICS INC | 38000Q102 | COM | 300 | $5,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 478 | $5,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 550 | $5,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 1,210 | $5,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 5,576 | $5,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 2,456 | $5,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 549 | $5,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 1,669 | $5,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 12,126 | $5,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 2,622 | $5,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 2,987 | $5,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 1,952 | $5,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 170 | $5,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 150 | $5,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 2,547 | $5,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 200 | $5,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 1,944 | $5,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 226 | $5,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 1,652 | $5,000 | thousands by filing date | |
| AMERICAN CUSTOMER SATISFACTION ETF | 26922A776 | ETF | 155 | $5,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 442 | $5,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 1,421 | $5,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 4,009 | $5,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 1,297 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 176 | $5,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 19,366 | $5,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,146 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 174 | $5,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 3,069 | $5,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 4,000 | $5,000 | thousands by filing date | principal |
| CELSION CORP | 15117N503 | COM PAR NEW | 2,030 | $5,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 1,736 | $5,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 1,510 | $5,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H666 | FRMLAFOLIOS TATL | 200 | $5,000 | thousands by filing date | |
| FGL HLDGS | G3402M102 | ORD SHS | 500 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 162 | $5,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 865 | $5,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 4,130 | $5,000 | thousands by filing date | |
| INDUSTREA ACQUISITION CORP | 45579J104 | CL A | 484 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 117 | $5,000 | thousands by filing date | |
| QIAGEN NV | N72482AA5 | DEBT 0.375% 3/1 | 4,000 | $5,000 | thousands by filing date | principal |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 1,590 | $5,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385204 | UNIT 12/31/2020 | 634 | $5,000 | thousands by filing date | |
| MOXIAN INC | 624697207 | COM NEW | 1,378 | $5,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 3,341 | $5,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156119 | SHS NEW | 2,276 | $5,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 1,076 | $5,000 | thousands by filing date | |
| CHINA COML CR INC | 16891K103 | COM | 3,842 | $5,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 4,400 | $5,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 471 | $5,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR FINANCIALS ETF | 46435G581 | ETF | 133 | $5,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 881 | $5,000 | thousands by filing date | |
| INPIXON COM | 45790J107 | Stock | 23,001 | $5,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 2,634 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E109 | DAILY SLR BULL | 570 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G573 | MLTFACT MATLS | 146 | $5,000 | thousands by filing date | |
| STRATEGY SHS | 86280R308 | ACTIVE ALTS | 200 | $5,000 | thousands by filing date | |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 82 | $4,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 7,514 | $4,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 2,733 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P744 | FTSE JAPAN ETF | 132 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 71 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 200 | $4,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 961 | $4,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,318 | $4,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 3,387 | $4,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 135 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 182 | $4,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 299 | $4,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 1,478 | $4,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 1,139 | $4,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 800 | $4,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 200 | $4,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 3,000 | $4,000 | thousands by filing date | principal |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 570 | $4,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 2,652 | $4,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 1,588 | $4,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 175 | $4,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 18,997 | $4,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,752 | $4,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 13,700 | $4,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 1,000 | $4,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 121 | $4,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 207 | $4,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 5,338 | $4,000 | thousands by filing date | |
| ASSOCIATED BANC CORP | 045487113 | WTS | 700 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 120 | $4,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 1,866 | $4,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 3,916 | $4,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 1,638 | $4,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 3,728 | $4,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 262 | $4,000 | thousands by filing date | |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 3,000 | $4,000 | thousands by filing date | principal |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 714 | $4,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 2,000 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G540 | MLTFACT TECH | 111 | $4,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 711 | $4,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 298 | $4,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 33,753 | $4,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C201 | COM | 26,936 | $4,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| EVINE LIVE INC | 300487105 | CL A | 2,677 | $4,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 25 | $4,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 742 | $4,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 247 | $4,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 2,631 | $4,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 10,000 | $4,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 998 | $4,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 1,361 | $4,000 | 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 |