13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-15, with 7,886 holding rows worth $231,637,477,000.
- Accession
- 0000950123-18-005365
- Filer
- CIK 1610520
- Filed
- 2018-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A combination report, 13,432 entries on the cover page, a total value of $231,637,477,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $231,637,552,000 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 |
|---|---|---|---|---|---|---|
| BIO RAD LABS INC | 090572108 | CL B | 270 | $67,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 4,513 | $67,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 3,351 | $67,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 2,765 | $67,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 2,586 | $67,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 2,589 | $67,000 | thousands by filing date | |
| OSI ETF TR | 67110P209 | OSI ETF TR | 2,501 | $67,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 8,606 | $67,000 | thousands by filing date | |
| GUGGENHEIM S&P 100 EQUAL WEIGHT ETF | 78355W478 | ETF | 2,082 | $67,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 1,270 | $66,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 2,357 | $66,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 3,963 | $66,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 7,616 | $66,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 2,639 | $66,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,916 | $66,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 2,894 | $66,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 5,799 | $66,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 2,118 | $66,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 300 | $65,000 | thousands by filing date | put |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 742 | $65,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 3,475 | $65,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 2,208 | $65,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 5,700 | $65,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 1,922 | $65,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 3,805 | $65,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 2,614 | $65,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 4,804 | $65,000 | thousands by filing date | |
| ACTIVE WEIGHTING FDS ETF TR | 00509T300 | EVENTSHS US POLI | 3,076 | $65,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 1,920 | $64,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 2,064 | $64,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 2,777 | $64,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 3,200 | $64,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,510 | $64,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,213 | $64,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 1,760 | $64,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 3,574 | $64,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 7,429 | $64,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 846 | $64,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 7,433 | $64,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,045 | $64,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 2,897 | $64,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 1,231 | $64,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 1,694 | $64,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 8,791 | $64,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 2,513 | $64,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y706 | ULTRA BLOOMBERG | 2,335 | $64,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 4,660 | $64,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 2,567 | $63,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 1,102 | $63,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 11,533 | $63,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 5,253 | $63,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 60,000 | $63,000 | thousands by filing date | principal |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 2,959 | $63,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 38,436 | $63,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 3,302 | $63,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 1,017 | $63,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E828 | DAILY RUSSIA 3X | 3,685 | $63,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 2,036 | $63,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,249 | $62,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 2,067 | $62,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 17,522 | $62,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 4,535 | $62,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 29,466 | $62,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,595 | $62,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 2,405 | $62,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 8,292 | $61,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 1,923 | $61,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 2,698 | $61,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 40,017 | $61,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 2,483 | $61,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 6,661 | $61,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 3,239 | $61,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 2,084 | $60,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 2,300 | $60,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 1,150 | $60,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 2,314 | $60,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 4,719 | $60,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 4,895 | $60,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 1,245 | $60,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 1,766 | $60,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 111,579 | $60,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 4,147 | $60,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 2,100 | $60,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D654 | 3X INVERS SILV | 2,313 | $60,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 1,629 | $60,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 11,522 | $60,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G207 | HORIZONS DAX GER | 1,991 | $60,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP | 420870206 | UNIT 10/19/2022 | 6,047 | $60,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 74,936 | $60,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 964 | $59,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 1,958 | $59,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 6,209 | $59,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 15,155 | $59,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q678 | S&P500 MOMETUM | 1,684 | $59,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 4,763 | $58,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 9,950 | $58,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 2,928 | $58,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 10,731 | $58,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 5,177 | $58,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 1,689 | $58,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 5,600 | $58,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 2,321 | $58,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 52 | $58,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 2,378 | $58,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 1,893 | $58,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 704 | $57,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 3,017 | $57,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 4,334 | $57,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 7,095 | $57,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 8,816 | $57,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 808 | $57,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 1,404 | $57,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 4,228 | $57,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 1,537 | $57,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 9,501 | $57,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 34,000 | $57,000 | thousands by filing date | principal |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 26,041 | $57,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 2,138 | $57,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 2,009 | $57,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 17,431 | $57,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 1,374 | $57,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 2,326 | $57,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 1,872 | $57,000 | thousands by filing date | |
| ABILITY INC | G8789K124 | SHS | 17,528 | $57,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 2,742 | $57,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 5,102 | $57,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 3,594 | $57,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,336 | $56,000 | thousands by filing date | |
| ISHARES TR | 46435U861 | CORE DIVID ETF | 2,214 | $56,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 1,000 | $56,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25460E661 | CMN | 1,119 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 2,400 | $56,000 | thousands by filing date | call |
| CZR | 127686103 | Stock | 4,990 | $56,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,510 | $56,000 | thousands by filing date | |
| Call - MTB $73.86 Exp 12/23/2018 | 55261F112 | Warrants | 515 | $56,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 1,203 | $56,000 | thousands by filing date | |
| ARROW INVTS TR | 042765685 | DWA TACT INTL | 1,850 | $56,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C674 | RUSL 1000 QTLY | 2,200 | $56,000 | thousands by filing date | |
| ACTIVE WEIGHTING FDS ETF TR | 00509T102 | REPUBLICAN | 2,595 | $56,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 500 | $55,000 | thousands by filing date | put |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 551 | $55,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 1,836 | $55,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 1,230 | $55,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 2,600 | $55,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 5,718 | $55,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 4,104 | $55,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 7,661 | $55,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 6,681 | $55,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 2,386 | $55,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 3,450 | $55,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 2,207 | $55,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 2,809 | $55,000 | thousands by filing date | |
| ISHARES TR | 46435G664 | ADAPTV EUR ETF | 1,914 | $55,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 2,779 | $54,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 3,665 | $54,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 3,346 | $54,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 3,691 | $54,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 2,345 | $54,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 3,649 | $54,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 13,146 | $54,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 24,806 | $54,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 9,000 | $54,000 | thousands by filing date | principal |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 15,032 | $54,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 2,958 | $54,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 2,820 | $54,000 | thousands by filing date | |
| SPDR SER TR | 78468R119 | S&P TECH H | 754 | $54,000 | thousands by filing date | |
| PROSHARES TR | 74348A194 | ULTRASHORT GOLD | 3,628 | $54,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P320 | IPTH LIVESTK | 1,293 | $54,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 1,356 | $53,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 4,350 | $53,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 1,925 | $53,000 | thousands by filing date | |
| SAILPOINT TECHNOLOGIES HOLDING | 78781P105 | COM | 2,544 | $53,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 1,492 | $53,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 1,113 | $53,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 6,992 | $53,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 2,138 | $53,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 1,370 | $53,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 1,258 | $53,000 | thousands by filing date | |
| ADVISORSHARES NEW TECH AND MEDIA ETF | 00768Y552 | ETF | 2,550 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 2,155 | $53,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 3,780 | $52,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 2,116 | $52,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 3,413 | $52,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 1,323 | $52,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 3,090 | $52,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 761 | $52,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 2,710 | $52,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 1,829 | $52,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 3,695 | $52,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 11,604 | $52,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 62,664 | $52,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 8,274 | $52,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 30,000 | $52,000 | thousands by filing date | principal |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 19,427 | $52,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 1,990 | $52,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 2,832 | $51,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 7,567 | $51,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 2,200 | $51,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 3,520 | $51,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 7,000 | $51,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,235 | $51,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 40,987 | $51,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 1,750 | $51,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 4,095 | $51,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 17,086 | $51,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 2,176 | $51,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 2,802 | $51,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 2,334 | $51,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 13,300 | $51,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 1,876 | $51,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X420 | GLBL HGD SMLCP | 2,054 | $51,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 701 | $51,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 2,404 | $50,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 1,055 | $50,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 7,759 | $50,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 2,324 | $50,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 4,069 | $50,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 4,031 | $50,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 1,473 | $50,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 3,788 | $50,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 3,340 | $50,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 5,323 | $50,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 1,660 | $49,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 7,500 | $49,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 589 | $49,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 2,837 | $49,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 7,030 | $49,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 9,800 | $49,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 1,192 | $49,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,882 | $49,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 2,677 | $49,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 3,283 | $49,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 500 | $48,000 | thousands by filing date | put |
| AIR PRODS & CHEMS INC | 009158106 | COM | 300 | $48,000 | thousands by filing date | put |
| ZSCALERINC | 98980G102 | STOK | 1,700 | $48,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,908 | $48,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 3,248 | $48,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 7,133 | $48,000 | thousands by filing date | |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 3,756 | $48,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 3,371 | $48,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 2,533 | $48,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 1,209 | $48,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 6,441 | $48,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 4,807 | $48,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 11,072 | $48,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 6,883 | $48,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 16,133 | $48,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 5,424 | $48,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 4,134 | $48,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 1,955 | $48,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E802 | DLY RGNAL BKS 3X | 1,823 | $48,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 12,512 | $48,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,662 | $48,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G871 | VIRTUS CUMBRLAND | 1,941 | $48,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 800 | $47,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,662 | $47,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 1,353 | $47,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 1,448 | $47,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 1,950 | $47,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 13,997 | $47,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 897 | $47,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 1,000 | $47,000 | thousands by filing date | put |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 4,155 | $47,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 5,475 | $47,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 3,228 | $47,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 48,000 | $47,000 | thousands by filing date | principal |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 2,252 | $46,000 | thousands by filing date | |
| SPS COMM INC COM | 78463M107 | Stock | 716 | $46,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 1,832 | $46,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 2,530 | $46,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 669 | $46,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 925 | $46,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 1,707 | $46,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 1,857 | $46,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 6,569 | $46,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 1,799 | $46,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 2,982 | $46,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 3,702 | $46,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E851 | DAILY JR BULL 3X | 3,391 | $46,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 8,210 | $46,000 | thousands by filing date | |
| HESS CORP | 42809H404 | DEP PDF SR A | 776 | $46,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 779 | $46,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745204 | UNIT 02/01/2023 | 4,510 | $46,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 624 | $46,000 | thousands by filing date | |
| INNOVATOR LUNT LOW VOL/HIGH BETA TACTICAL ETF | 287711790 | ETF | 1,432 | $46,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 500 | $45,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 1,367 | $45,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 2,760 | $45,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 4,622 | $45,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 1,789 | $45,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 851 | $45,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 1,637 | $45,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 300 | $45,000 | thousands by filing date | put |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 64,000 | $45,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 2,079 | $45,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 1,515 | $45,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 5,691 | $45,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 648 | $45,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 18,000 | $45,000 | thousands by filing date | principal |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 590 | $45,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 914 | $45,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 913 | $45,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 849 | $45,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 83,995 | $45,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 3,767 | $44,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 1,694 | $44,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 628 | $44,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 2,002 | $44,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 1,111 | $44,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 23,019 | $44,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 1,057 | $44,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 2,456 | $44,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 10,796 | $44,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 4,801 | $44,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 19,392 | $44,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 2,547 | $44,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 29,398 | $44,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 7,430 | $44,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 12,752 | $44,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 4,703 | $44,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 1,824 | $44,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 2,532 | $44,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H716 | QUTX RSK MGDML | 1,734 | $44,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 2,433 | $43,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 9,596 | $43,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 806 | $43,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,818 | $43,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 780 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 2,142 | $43,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 571 | $43,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 1,030 | $43,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 3,748 | $43,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 3,866 | $43,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 1,500 | $43,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 1,883 | $43,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,147 | $43,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 4,112 | $43,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 3,242 | $43,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 1,446 | $43,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y826 | MEIDELL TCT AD | 1,293 | $43,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 2,054 | $43,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 1,390 | $43,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 5,240 | $43,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L201 | UNIT 07/29/2020 | 4,283 | $43,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 500 | $42,000 | thousands by filing date | put |
| GRAHAM CORP | 384556106 | COM | 1,986 | $42,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 2,586 | $42,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 1,550 | $42,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 2,985 | $42,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 15,500 | $42,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 4,601 | $42,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 5,900 | $42,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 731 | $42,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 1,464 | $42,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 5,789 | $42,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 785 | $42,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 2,373 | $42,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 7,583 | $42,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 200 | $41,000 | thousands by filing date | put |
| TJX Companies Inc | 872540109 | COM | 500 | $41,000 | thousands by filing date | put |
| ALLIENT INC | 019330109 | COM | 1,022 | $41,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 1,410 | $41,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 732 | $41,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 3,486 | $41,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 662 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 998 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X172 | US HGH YLD CORP | 835 | $41,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 1,677 | $41,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 3,648 | $41,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 1,316 | $41,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 1,961 | $41,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 1,126 | $41,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 3,935 | $41,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 3,576 | $41,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 1,817 | $41,000 | thousands by filing date | |
| ONE MADISON CORP | G6772P118 | UNIT 99/99/9999 | 4,074 | $41,000 | thousands by filing date | |
| USAA ETF TR | 90291F105 | MSCI USA VL MT | 800 | $41,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 4,000 | $40,000 | thousands by filing date | call |
| AMPLIFY ETF TR | 032108409 | CWP ENHANCED DIV | 1,426 | $40,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 1,507 | $40,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 6,506 | $40,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 3,369 | $40,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 7,334 | $40,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 5,235 | $40,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 1,100 | $40,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 15,000 | $40,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 19,817 | $40,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 1,139 | $40,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 1,676 | $40,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 9,051 | $40,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 1,930 | $40,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X210 | MSCI CHINA ETF | 1,679 | $40,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 2,266 | $39,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 10,438 | $39,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 1,962 | $39,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 654 | $39,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 1,855 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 1,087 | $39,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 2,871 | $39,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 4,734 | $39,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,664 | $39,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 29,022 | $39,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 978 | $39,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 2,745 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 5,607 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 3,363 | $39,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 2,451 | $39,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 3,420 | $39,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 2,806 | $39,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A529 | NYSE PICKENS | 1,561 | $39,000 | thousands by filing date | |
| ETFS TR | 26923J883 | BBG STRGY K 1 | 1,496 | $39,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 900 | $38,000 | thousands by filing date | put |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 1,250 | $38,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 2,458 | $38,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 1,532 | $38,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 1,345 | $38,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 1,135 | $38,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L363 | CMN | 1,390 | $38,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 7,227 | $38,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 65,870 | $38,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 3,430 | $38,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 367 | $38,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 8,763 | $38,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 2,085 | $38,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 176,461 | $38,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E877 | DLY JR GOLD 3X | 697 | $38,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 1,437 | $38,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788206 | UNIT 01/18/2023 | 3,700 | $38,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 31,708 | $38,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 2,417 | $38,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 479 | $37,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 1,799 | $37,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 2,601 | $37,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 1,225 | $37,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 2,000 | $37,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E711 | CMN | 1,561 | $37,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,274 | $37,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 3,308 | $37,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 839 | $37,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 3,325 | $37,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 1,774 | $37,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 2,517 | $37,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,262 | $37,000 | thousands by filing date | |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 1,699 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 1,489 | $37,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H732 | QUTX RSK MNDGW | 1,322 | $37,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 261 | $37,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L792 | ETRACS 2XLEV | 704 | $37,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 1,900 | $36,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 2,470 | $36,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 981 | $36,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 3,064 | $36,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 783 | $36,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 2,269 | $36,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 2,515 | $36,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 20,282 | $36,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 3,440 | $36,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 2,103 | $36,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 6,031 | $36,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 919 | $36,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 4,512 | $36,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 2,643 | $36,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 19,730 | $36,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 1,332 | $36,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 844 | $36,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 3,444 | $36,000 | thousands by filing date | |
| Jacksonville Bancorp, Inc. (IL) | 46924R106 | Common Stock | 1,096 | $36,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 1,299 | $36,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 113,817 | $36,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 1,611 | $36,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 2,562 | $36,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 1,991 | $36,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 932 | $36,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 1,638 | $36,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 2,041 | $35,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 1,521 | $35,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 2,445 | $35,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 1,107 | $35,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 5,062 | $35,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 1,227 | $35,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 1,449 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 4,005 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 4,585 | $35,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,492 | $35,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 1,434 | $35,000 | thousands by filing date | |
| ABERDEEN STANDARD INVESTS ETFS ABRDN BLMBRG COMDTY LNGR DATD | 26923J602 | Equities | 1,336 | $35,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 1,484 | $35,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 2,157 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 3,313 | $35,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 1,053 | $35,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 200 | $34,000 | thousands by filing date | put |
| AGILYSYS INC | 00847J105 | COM | 2,822 | $34,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 1,800 | $34,000 | thousands by filing date | call |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 723 | $34,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 1,009 | $34,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 877 | $34,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 8,275 | $34,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R306 | HIPS US HIGH INC | 2,082 | $34,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 2,959 | $34,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 2,649 | $34,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-18-005365 | this filing | 2018-05-15 | acceptance time not in the bulk data set |