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 |
|---|---|---|---|---|---|---|
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 1,302 | $34,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 1,699 | $34,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 9,076 | $34,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 18,250 | $34,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 3,418 | $34,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 3,197 | $34,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 2,644 | $34,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 33,000 | $34,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90274D259 | NT AMZI 46 | 1,198 | $34,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 846 | $33,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 14,373 | $33,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 3,764 | $33,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,614 | $33,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,295 | $33,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,399 | $33,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 717 | $33,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,207 | $33,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,510 | $33,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 567 | $33,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,331 | $33,000 | thousands by filing date | |
| COMCAST HOLDINGS CORP | 200300507 | ZONES CV2% PCS | 626 | $33,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 1,330 | $33,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 78,678 | $33,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 51,481 | $33,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 2,566 | $33,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,996 | $33,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 4,897 | $33,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 1,800 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 1,565 | $33,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 5,015 | $33,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 9,962 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K166 | DAILY EUROPEAN | 776 | $33,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 1,142 | $33,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,096 | $33,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 5,372 | $33,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 424 | $32,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 510 | $32,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 1,047 | $32,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,068 | $32,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,526 | $32,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 3,463 | $32,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 1,041 | $32,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 1,712 | $32,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,134 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 2,736 | $32,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 1,881 | $32,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 10,614 | $32,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 40,953 | $32,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 1,913 | $32,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 4,323 | $32,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 922 | $32,000 | thousands by filing date | |
| M I ACQUISITIONS INC | 55304A104 | COM | 3,026 | $32,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 1,918 | $31,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 3,723 | $31,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,650 | $31,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 998 | $31,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 5,884 | $31,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E679 | DAILY TRANSN ETF | 1,007 | $31,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 2,124 | $31,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,856 | $31,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,995 | $31,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,043 | $31,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 47,653 | $31,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 2,551 | $31,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,108 | $31,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 14,292 | $31,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G878 | IPATH GEMS ASIA8 | 750 | $31,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 1,219 | $31,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 4,400 | $31,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 2,400 | $31,000 | thousands by filing date | put |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 1,433 | $31,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 2,066 | $31,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 3,025 | $31,000 | thousands by filing date | |
| MTECH ACQUISITION CORP | 55378W206 | UNIT 01/19/2023 | 3,093 | $31,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B332 | S&P SML QLTY | 1,179 | $31,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 200 | $30,000 | thousands by filing date | put |
| COMMVAULT SYS INC COM | 204166102 | Stock | 521 | $30,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 1,315 | $30,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 1,541 | $30,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 1,248 | $30,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 870 | $30,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,726 | $30,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,379 | $30,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 1,234 | $30,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 3,841 | $30,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 5,342 | $30,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P785 | FTSE GERMANY | 1,200 | $30,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 44,546 | $30,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 1,331 | $30,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 1,357 | $30,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 2,192 | $30,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 5,683 | $30,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 1,475 | $30,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 21,073 | $30,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 1,966 | $30,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 9,000 | $30,000 | thousands by filing date | principal |
| B COMMUNICATIONS LTD | M15629104 | SHS | 2,343 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 1,229 | $30,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,198 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y355 | DLY DEV MKT BEAR | 2,451 | $30,000 | thousands by filing date | |
| STRONGVEST ETF TR | 863418109 | CWA INCOME | 1,200 | $30,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 1,557 | $30,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D176 | VELOCITYSHS LONG | 1,981 | $30,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 400 | $29,000 | thousands by filing date | put |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 500 | $29,000 | thousands by filing date | put |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 1,515 | $29,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 2,121 | $29,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 3,117 | $29,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 1,578 | $29,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 676 | $29,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 1,417 | $29,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,544 | $29,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,389 | $29,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 6,122 | $29,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 927 | $29,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,466 | $29,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 1,142 | $29,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 2,115 | $29,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 3,817 | $29,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 16,893 | $29,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 6,290 | $29,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 145,134 | $29,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 10,601 | $29,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 4,176 | $29,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 2,820 | $29,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 5,583 | $29,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 15,991 | $29,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 4,332 | $29,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 8,237 | $29,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 2,599 | $29,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 1,070 | $29,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 683 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 1,902 | $29,000 | thousands by filing date | |
| SUPERVALU INC | 868536301 | COM NEW | 1,914 | $29,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 2,544 | $29,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760110 | UNIT 99/99/9999 | 2,897 | $29,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,609 | $29,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 255 | $29,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 1,195 | $29,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 875 | $29,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 976 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 404 | $28,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 954 | $28,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 3,857 | $28,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 2,682 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 844 | $28,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 1,159 | $28,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 8,000 | $28,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 3,091 | $28,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 3,387 | $28,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 1,342 | $28,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,576 | $28,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 12,468 | $28,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 240 | $28,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 13,193 | $28,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 2,957 | $28,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 774 | $28,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P163 | IPTH SUGAR ETN | 1,442 | $28,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 1,454 | $28,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 94,937 | $28,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 14,000 | $28,000 | thousands by filing date | principal |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 3,818 | $28,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 14,565 | $28,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 2,066 | $28,000 | thousands by filing date | |
| ISHARES TR | 46435G540 | MLTFACT TECH | 700 | $28,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 897 | $28,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 1,830 | $28,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 953 | $28,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 3,987 | $28,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 1,780 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B266 | PUREBET FTSE EMG | 1,015 | $28,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 886 | $27,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 200 | $27,000 | thousands by filing date | put |
| ANGIODYNAMICS INC | 03475V101 | COM | 1,570 | $27,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 8,070 | $27,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,410 | $27,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 731 | $27,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,299 | $27,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 604 | $27,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 1,281 | $27,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,087 | $27,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 1,202 | $27,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 911 | $27,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 12,200 | $27,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 10,053 | $27,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 819 | $27,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,723 | $27,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 819 | $27,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 8,580 | $27,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 2,106 | $27,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 2,800 | $27,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 941 | $27,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,558 | $27,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P806 | RIVRFRNT DYN EUR | 420 | $27,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 2,662 | $27,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 596 | $27,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 3,324 | $27,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 3,554 | $27,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 786 | $27,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 9,320 | $27,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 2,909 | $27,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 2,265 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 721 | $27,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 3,757 | $27,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 7,000 | $27,000 | thousands by filing date | |
| Enterprise Federal Bancorp | 26952G107 | Common | 1,724 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 2,044 | $27,000 | thousands by filing date | |
| UNION ACQUISITION CORP | G9366W119 | UNIT 99/99/9999 | 2,640 | $27,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W107 | COM | 2,608 | $27,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 300 | $26,000 | thousands by filing date | put |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 11,567 | $26,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 3,144 | $26,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 3,448 | $26,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 645 | $26,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 1,167 | $26,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 1,106 | $26,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,668 | $26,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 5,305 | $26,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 1,631 | $26,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 790 | $26,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 3,366 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 1,410 | $26,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 41,116 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 1,395 | $26,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 72,581 | $26,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 770 | $26,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 1,126 | $26,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 2,086 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,240 | $26,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 4,568 | $26,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 12,537 | $26,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 653 | $26,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES LTD | 57778L103 | COM | 565 | $26,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 3,053 | $26,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 24,536 | $26,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 2,469 | $26,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,443 | $26,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L105 | COM | 2,605 | $26,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B102 | COM | 2,491 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 815 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 864 | $26,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H724 | QUTX RSK MGDML | 1,040 | $26,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 2,586 | $25,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,083 | $25,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 1,396 | $25,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 11,996 | $25,000 | thousands by filing date | |
| APTIV PLC | G6095L109 | SHS | 300 | $25,000 | thousands by filing date | put |
| Matrix Service Company | 576853105 | COM | 1,797 | $25,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,769 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 1,254 | $25,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,213 | $25,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 4,475 | $25,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 1,965 | $25,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767850 | MSCI CHINA CLEAN | 1,028 | $25,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 2,712 | $25,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 1,874 | $25,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 3,459 | $25,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 2,655 | $25,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,416 | $25,000 | thousands by filing date | |
| PHAXIAM THERAPEUTICS S A | 29604W108 | SPONSORED ADR | 1,177 | $25,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 2,774 | $25,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 1,940 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X388 | EUR DOMST ECO FD | 813 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 1,056 | $25,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BEAR 2X SHARES | 25460E554 | ETF | 493 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 11,788 | $25,000 | thousands by filing date | |
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 996 | $25,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 25,000 | $25,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25460E109 | DAILY SLR BULL | 3,020 | $25,000 | thousands by filing date | |
| TORM PLC SHS CL A | G89479102 | Stock | 3,230 | $24,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 1,959 | $24,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 911 | $24,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,524 | $24,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 300 | $24,000 | thousands by filing date | call |
| PRA Group Inc | 69354N106 | COM | 619 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 730 | $24,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 2,234 | $24,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 2,720 | $24,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 100 | $24,000 | thousands by filing date | call |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 1,947 | $24,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 5,070 | $24,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 8,296 | $24,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 382 | $24,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 941 | $24,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 150,300 | $24,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 952 | $24,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 1,761 | $24,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H483 | PS CMDT DS ETN | 755 | $24,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 663 | $24,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 2,643 | $24,000 | thousands by filing date | |
| DROPBOX INC - CLASS A | G4027R104 | COM | 5,442 | $24,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,628 | $24,000 | thousands by filing date | |
| CAPITOL INVT CORP IV | G18920119 | UNIT 99/99/9999 | 2,350 | $24,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 20,000 | $24,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 8,803 | $24,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 6,379 | $24,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 400 | $23,000 | thousands by filing date | put |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 300 | $23,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 720 | $23,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 4,591 | $23,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 1,396 | $23,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 846 | $23,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,106 | $23,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 4,979 | $23,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 2,670 | $23,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 784 | $23,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 259 | $23,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 668 | $23,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 534 | $23,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,973 | $23,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,869 | $23,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 28,384 | $23,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,363 | $23,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 1,920 | $23,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,502 | $23,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 885 | $23,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 2,583 | $23,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 2,682 | $23,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 1,485 | $23,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,030 | $23,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 809 | $23,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 1,606 | $23,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 2,038 | $23,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,893 | $23,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 2,920 | $23,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 1,511 | $23,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 11,190 | $23,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,435 | $23,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 1,155 | $23,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 13,386 | $23,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 6,629 | $23,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 5,373 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 1,106 | $23,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076209 | UNIT 03/12/2025 | 2,262 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y832 | ICBCCS S&P CHINA | 715 | $23,000 | thousands by filing date | |
| WCF BANCORP INC | 92940L103 | COM | 2,345 | $23,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 835 | $23,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 539 | $23,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 100 | $22,000 | thousands by filing date | put |
| AC IMMUNE SA | H00263105 | SHS | 2,119 | $22,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 2,941 | $22,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 1,993 | $22,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,072 | $22,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 650 | $22,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 457 | $22,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,482 | $22,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 747 | $22,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 1,427 | $22,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,687 | $22,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 972 | $22,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 1,742 | $22,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,025 | $22,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 27,709 | $22,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 3,581 | $22,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 18,075 | $22,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 3,209 | $22,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 2,506 | $22,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 4,093 | $22,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 1,189 | $22,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 8,015 | $22,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 2,062 | $22,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 1,103 | $22,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 1,790 | $22,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 1,494 | $22,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 1,617 | $22,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 750 | $22,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 852 | $22,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N808 | VICOTRYSHS EMG | 835 | $22,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 49,346 | $22,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 3,214 | $22,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 4,358 | $22,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 827 | $22,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 1,779 | $22,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 843 | $21,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 1,730 | $21,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 1,702 | $21,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 1,101 | $21,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 960 | $21,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 2,805 | $21,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 1,719 | $21,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 1,000 | $21,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 629 | $21,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 1,294 | $21,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 1,046 | $21,000 | thousands by filing date | |
| PROSHARES SP 500 DIVIDEND ARISTOCRATS ETF | 74347B482 | ETF | 585 | $21,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 7,000 | $21,000 | thousands by filing date | principal |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 961 | $21,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 1,839 | $21,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 1,088 | $21,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,306 | $21,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 2,411 | $21,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 12,000 | $21,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 25,743 | $21,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 1,281 | $21,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 13,685 | $21,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 2,000 | $21,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,535 | $21,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 5,641 | $21,000 | thousands by filing date | |
| ETF MANAGER GROUP COMMODITY | 26923H101 | SIT RISING RTE | 855 | $21,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A110 | UNIT 99/99/9999 | 2,000 | $21,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 541 | $21,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 1,154 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 884 | $21,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 1,539 | $21,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 200 | $20,000 | thousands by filing date | put |
| MASCO CORP | 574599106 | COM | 500 | $20,000 | thousands by filing date | put |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 1,776 | $20,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 300 | $20,000 | thousands by filing date | put |
| MARINEMAX INC | 567908108 | COM | 1,037 | $20,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 4,601 | $20,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 905 | $20,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,865 | $20,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 723 | $20,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 855 | $20,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 1,569 | $20,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 747 | $20,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 1,179 | $20,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,275 | $20,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,735 | $20,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 3,796 | $20,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 13,144 | $20,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 20,000 | $20,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 20,000 | $20,000 | thousands by filing date | principal |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 3,223 | $20,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 967 | $20,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 637 | $20,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 1,911 | $20,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D373 | VELOCITY SHS 3X | 739 | $20,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 2,647 | $20,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 1,542 | $20,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 880 | $20,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 1,425 | $20,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 13,548 | $20,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 761 | $20,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 9,000 | $20,000 | thousands by filing date | principal |
| BARINGTON HILCO ACQUISITION | 06759V101 | COM | 1,860 | $20,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 1,882 | $20,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 837 | $19,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 767 | $19,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 258 | $19,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 646 | $19,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 900 | $19,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 2,784 | $19,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 943 | $19,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 701 | $19,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,673 | $19,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 2,277 | $19,000 | thousands by filing date | |
| ARROW INVTS TR | 042765719 | RESV CAP ETF | 194 | $19,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 946 | $19,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 8,909 | $19,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 13,596 | $19,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,393 | $19,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,439 | $19,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 12,398 | $19,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 2,738 | $19,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 734 | $19,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 992 | $19,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 2,959 | $19,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 990 | $19,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 2,370 | $19,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 9,943 | $19,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 9,381 | $19,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 874 | $19,000 | thousands by filing date | |
| JANUS DETROIT STR TR OBESITY ETF | 47103U506 | CEF | 578 | $19,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 4,878 | $19,000 | thousands by filing date | |
| ELEVATION ETF TR | 28622M100 | SUMMIT WTR INF | 613 | $19,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 300 | $18,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 38,499 | $18,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 766 | $18,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 700 | $18,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 4,148 | $18,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,227 | $18,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,266 | $18,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 339 | $18,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 44,226 | $18,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 1,763 | $18,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 1,776 | $18,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 1,040 | $18,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 4,302 | $18,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 20,667 | $18,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 2,300 | $18,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 779 | $18,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 266 | $18,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 2,464 | $18,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 11,059 | $18,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 1,988 | $18,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 628 | $18,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 2,613 | $18,000 | thousands by filing date | |
| ALTA MESA RES INC 3 | 02133L117 | COM | 11,866 | $18,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 2,066 | $18,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L109 | DEV EX US ETF | 600 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q486 | ALPS DORESEY | 600 | $18,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP II | 31810G208 | UNIT 99/99/9999 | 1,739 | $18,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 600 | $17,000 | thousands by filing date | put |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 6,313 | $17,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 2,000 | $17,000 | thousands by filing date | put |
| BEL FUSE INC | 077347300 | CL B | 928 | $17,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 572 | $17,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,250 | $17,000 | 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 |