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 |
|---|---|---|---|---|---|---|
| NEUROMETRIX INC | 641255708 | COM PAR | 2,229 | $4,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 5,000 | $4,000 | thousands by filing date | principal |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 1,627 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A186 | ULTRPRO SHRT NEW | 515 | $4,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 194 | $4,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 3,911 | $4,000 | thousands by filing date | |
| CLEARSIGN COMBUSTION CORP | 185064110 | *W EXP 01/25/201 | 3,987 | $4,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 375 | $4,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 973 | $4,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 3,000 | $4,000 | thousands by filing date | principal |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 3,906 | $4,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 5,010 | $4,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L209 | COM NEW | 1,737 | $4,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 12,170 | $4,000 | thousands by filing date | |
| INFOSONICS CORP | 456784206 | COM NEW | 2,586 | $4,000 | thousands by filing date | |
| ISHARES INC | 46434G871 | MIN VOLA EM | 134 | $4,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 109 | $3,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 200 | $3,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J842 | MULTIFACTR SML | 100 | $3,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 50 | $3,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 100 | $3,000 | thousands by filing date | put |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $3,000 | thousands by filing date | principal |
| Abrdn Emerging Markets | 00301W105 | COM | 300 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G441 | ESG ADVNCD HY BD | 66 | $3,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 100 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 125 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 106 | $3,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 1,049 | $3,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 664 | $3,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 1,000 | $3,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 1,440 | $3,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 598 | $3,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 1,583 | $3,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 356 | $3,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 2,055 | $3,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 701 | $3,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 2,000 | $3,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 400 | $3,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 368 | $3,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 1,388 | $3,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 3,000 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 238 | $3,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 974 | $3,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 2,388 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 100 | $3,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 496 | $3,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 2,624 | $3,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 818 | $3,000 | thousands by filing date | |
| FIRST TRUST MULTI STRGY ALTER ETF | 73935B870 | ALT MULTI STRG | 124 | $3,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 6,287 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 93 | $3,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 7,029 | $3,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 2,250 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 153 | $3,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 2,155 | $3,000 | thousands by filing date | |
| USCF FDS TR | 91733T406 | US 3X SHRT OIL | 243 | $3,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 1,698 | $3,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 840 | $3,000 | thousands by filing date | |
| DOGNESS INTERNATIONAL CORP | G2788T103 | COM CL A | 426 | $3,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 2,724 | $3,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265308 | SHS NEW | 2,447 | $3,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 1,341 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 149 | $3,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 4,553 | $3,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 770 | $3,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 292 | $3,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 2,183 | $3,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 1,314 | $3,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 1,609 | $3,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 6,102 | $3,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 2,000 | $3,000 | thousands by filing date | principal |
| KAYNE ANDERSON ACQUISITION | 48661U201 | UNIT 06/30/2022 | 266 | $3,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 750 | $3,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 3,000 | $3,000 | thousands by filing date | principal |
| ROSETTA GENOMICS | M82183209 | Equities | 5,498 | $3,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 4,056 | $3,000 | thousands by filing date | |
| AMERI HLDGS INC WT EXP 110823 | 02362F112 | Stock | 3,463 | $3,000 | thousands by filing date | |
| KITOV PHARMA LTD | 49803V115 | *W EXP 11/25/202 | 5,240 | $3,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 2,204 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 101 | $3,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754403 | COM PAR | 1,441 | $3,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q860 | EVENT DRIVEN | 100 | $3,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784101 | SPONSORED ADR | 305 | $3,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 2,179 | $3,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N128 | UNIT 08/21/2022 | 350 | $3,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 4,093 | $3,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 3,225 | $3,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 2,650 | $3,000 | thousands by filing date | |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 700 | $3,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 12,892 | $3,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847208 | SHS | 1,211 | $3,000 | thousands by filing date | |
| CSOP ETF TR | 12649L303 | CHINA CSI 300 | 89 | $3,000 | thousands by filing date | |
| WISDOMTREE U.S. EXPORT AND MULTINATIONAL FUND | 97717X453 | ETF | 100 | $3,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 83 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 100 | $2,000 | thousands by filing date | put |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 70 | $2,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 100 | $2,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 400 | $2,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 227 | $2,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 191 | $2,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 350 | $2,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 296 | $2,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 903 | $2,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 1,855 | $2,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 58 | $2,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 646 | $2,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 88 | $2,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 903 | $2,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E711 | CMN | 83 | $2,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 185 | $2,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 1,323 | $2,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 209 | $2,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 423 | $2,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 70 | $2,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 603 | $2,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 296 | $2,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 703 | $2,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 937 | $2,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 153 | $2,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 636 | $2,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 652 | $2,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 853 | $2,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 1,598 | $2,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 1,200 | $2,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 419 | $2,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 5,800 | $2,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 58 | $2,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 521 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 2,637 | $2,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 619 | $2,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 487 | $2,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 491 | $2,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 3,410 | $2,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 210 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 33 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 100 | $2,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 614 | $2,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 8,525 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 209 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 60 | $2,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 961 | $2,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 724 | $2,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 634 | $2,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 470 | $2,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 9,012 | $2,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 2,000 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 65 | $2,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 90 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 53 | $2,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 613 | $2,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 400 | $2,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 466 | $2,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U116 | *W EXP 08/08/202 | 4,265 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 50 | $2,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 78 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B706 | COM | 32 | $2,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 264 | $2,000 | thousands by filing date | |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 3,556 | $2,000 | thousands by filing date | |
| PAVMED INC | 70387R114 | *W EXP 01/29/202 | 3,949 | $2,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 243 | $2,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 180 | $2,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 2,010 | $2,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 291 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B870 | CDS SH NA HYCR | 50 | $2,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 1,627 | $2,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 1,149 | $2,000 | thousands by filing date | |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 2,039 | $2,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 75,491 | $2,000 | thousands by filing date | |
| SOLENO THERAPEUTICS INC | 834203135 | *W EXP 11/12/201 | 10,418 | $2,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L113 | *W EXP 01/21/202 | 3,707 | $2,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 1,089 | $2,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C112 | *W EXP 06/16/202 | 3,700 | $2,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 2,000 | $2,000 | thousands by filing date | principal |
| LM FDG AMER INC | 502074107 | COM | 1,418 | $2,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 500 | $2,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC | 761123108 | COM | 1,501 | $2,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 8,268 | $2,000 | thousands by filing date | |
| TARGACEPT INC | 87611RAA6 | NOTE 2/1 | 1,540 | $2,000 | thousands by filing date | principal |
| ORIGO ACQUISITION CORP | G67789100 | UNIT 12/17/2021T | 163 | $2,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789118 | *W EXP 12/17/202 | 3,500 | $2,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 62 | $1,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 410 | $1,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 54 | $1,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 345 | $1,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 58 | $1,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 28 | $1,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 55 | $1,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 71 | $1,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 112 | $1,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 96 | $1,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 128 | $1,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 29 | $1,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 6,090 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 40 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 239 | $1,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 20 | $1,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 300 | $1,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 12 | $1,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 656 | $1,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 116 | $1,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 109 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 35 | $1,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 417 | $1,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E679 | DAILY TRANSN ETF | 42 | $1,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $1,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 100 | $1,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 476 | $1,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 285 | $1,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 400 | $1,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 271 | $1,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 1,000 | $1,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 600 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 500 | $1,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 1,050 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 30 | $1,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 508 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 1,007 | $1,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 775 | $1,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 21 | $1,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 5,033 | $1,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 616 | $1,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 24 | $1,000 | thousands by filing date | |
| IPATH PURE BETA GRAINS | 06740P270 | CMN | 25 | $1,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 967 | $1,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 394 | $1,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 23 | $1,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 556 | $1,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 734 | $1,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 1,084 | $1,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 48 | $1,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 500 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 25 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 39 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H453 | FUND | 40 | $1,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 430 | $1,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 39 | $1,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 54 | $1,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 415 | $1,000 | thousands by filing date | |
| Trump Media & Technology | 287711816 | COM | 45 | $1,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 400 | $1,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 179 | $1,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 295 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 119,217 | $1,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 602 | $1,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468104 | COM | 475 | $1,000 | thousands by filing date | |
| PHASERX INC | 71723F103 | COM | 2,844 | $1,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 379 | $1,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 39 | $1,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 284 | $1,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F104 | COM | 163 | $1,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 1,000 | $1,000 | thousands by filing date | principal |
| ASTROTECH CORP | 046484200 | COM NEW | 373 | $1,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 774 | $1,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 20 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T456 | ETN LKD 34 | 104 | $1,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 245 | $1,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 4,111 | $1,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931503 | COM PAR NEW | 1,056 | $1,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 86 | $1,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 312 | $1,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 25 | $1,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 431 | $1,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 250 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 26 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051564 | XTRCK EURZON EQT | 49 | $1,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 1,181 | $1,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 1,321 | $1,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 200 | $1,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 3,019 | $1,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 500 | $1,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 485 | $1,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 729 | $1,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 25 | $1,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 1,700 | $1,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 100 | $1,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 50 | $1,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 463 | $1,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 5,329 | $1,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E828 | VELCTY 1X ETN 47 | 83 | $1,000 | thousands by filing date | |
| Sensus Healthcare, Inc @6.75 6 | 81728J117 | warrants | 1,545 | $1,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 2,158 | $1,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 1,122 | $1,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 16,782 | $1,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B110 | *W EXP 03/07/202 | 3,200 | $1,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B128 | RIGHT 99/99/9999 | 2,900 | $1,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q508 | COM NEW | 275 | $1,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 249 | $1,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 314 | $1,000 | thousands by filing date | |
| OSPREY ENERGY ACQUISITION CO | 688397116 | *W EXP 07/21/202 | 1,400 | $1,000 | thousands by filing date | |
| JMU LTD | 46647L105 | SPONSORED ADR | 1,182 | $1,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 14 | $1,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 25 | $1,000 | thousands by filing date | |
| RMG NETWORKS HLDG CORP | 74966K300 | COM NEW | 1,706 | $1,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF T | 73935B813 | GROWTH MULTI AST | 53 | $1,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108508 | YIELDSHARES OIL | 50 | $1,000 | thousands by filing date | |
| GLOBAL PARTNER A | 37954X204 | UNIT | 79 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X545 | GLB EX US HDG | 25 | $1,000 | thousands by filing date | |
| MONSTER DIGITAL INC | 61174L113 | *W EXP 99/99/999 | 26,817 | $1,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 126 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 140 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERICEL CORP | 92346J108 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B557 | SP500 EX TECH | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 227 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CARVER BANCORP ORD | 146875604 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IPASS INC | 46261V108 | COM | 114 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 335 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDFIELD CORP | 381370105 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CITIGROUP INC | 172967226 | WARRANT | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739H420 | IPATH AS GLF CUR | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LDN BRH | 25154H541 | PSHS AGRI SHR38 | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DGSE COMPANIES INC | 23323G106 | COM | 372 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 99 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLIGENIX INC | 834223307 | COM | 79 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Pareteum Corporation | 69946T207 | COM | 141 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 2,021 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FC GLOBAL RLTY INC | 30258F102 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PFENEX INC | 717071104 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NXT-ID INC | 67091J206 | COM NEW | 88 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 99 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNIQUE FABRICATING INC | 90915J103 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 92 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HEAT BIOLOGICS INC | 42237K102 | COM | 977 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y651 | NORTH SQUA MCKE | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOXLIGHT CORP | 103197109 | COM CL A | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 156 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 237 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740D830 | RTRN DISABILIT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 6,248 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLIGENIX INC | 834223117 | *W EXP 11/14/202 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMSTOCK MNG INC | 205750201 | COM NEW | 277 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEANERGY MARITIME HLDGS CORP | Y73760145 | *W EXP 11/10/202 | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCONOVA THERAPEUTICS INC | 68232V116 | *W EXP 07/11/202 | 592 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A127 | *W EXP 07/07/202 | 10,099 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Fgl Holdings Wt Exp | g3402m110 | WT | 550 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIG ROCK PARTNERS ACQUISITIO | 089482111 | *W EXP 12/01/202 | 995 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 8,515 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOLPHIN ENTMT INC | 25686H118 | *W EXP 12/26/202 | 776 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENSARE ACQUISITION CORP | 70957E121 | RIGHT 99/99/9999 | 412 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BENITEC BIOPHARMA LTD | 082053117 | *W EXP 08/14/202 | 844 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUROMETRIX INC | 641255195 | *W EXP 05/29/202 | 5,341 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MYND ANALYTICS INC | 62857N202 | COM NEW | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F120 | *W EXP 08/20/201 | 570 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODERN MEDIA ACQUISITION | 60765P202 | UNIT 99/99/9999 | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORM HLDGS CORP COM | 34634E102 | Stock | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES EDGE MSCI MULTIFACTOR CONSUMER DISCRETIONARY ETF | 46435G623 | ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 3,969 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GULFMARK OFFSHORE INC | 402629117 | *W EXP 11/14/202 | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 750 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARINGTON HILCO ACQUISITION | 06759V127 | *W EXP 02/11/202 | 3,588 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARINGTON HILCO ACQUISITION | 06759V119 | RIGHT 08/11/2017 | 2,014 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIRTUS ETF TR II | 92790A306 | VIRTUS ENHCD SRT | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVISTA HEALTHCARE PUB ACQ CO | G0726L109 | UNIT 99/99/9999 | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNOCELLULAR THERAPEUTICS | 452536121 | *W EXP 08/12/202 | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREDIT SUISSE AG NASSAU BRH | 22539T258 | AXELATRDR 3X LNG | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTSIDE DISTILLING INC-CW22 | 277802112 | W EXP 08/10/202 | 211 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XG TECHNOLOGY INC | 98372A127 | *W EXP 07/19/201 | 126 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXTDECADE CORP | 65342K113 | COM | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPEXA THERAPEUTICS INC-CW18 | 00444P116 | W E | 6,858 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERIDIAN WASTE SOLUTIONS INC | 58985L118 | *W EXP 02/10/202 | 2,153 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740P312 | IPTH ENRGY ETN | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TR II | 73937B266 | PUREBET FTSE EMG | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR II | 74347W213 | COM | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANDINA ACQUISITION CORP II | G0441P120 | RIGHT 09/01/2017 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |