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 |
|---|---|---|---|---|---|---|
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 415 | $17,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 996 | $17,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 802 | $17,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 2,014 | $17,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 3,000 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 830 | $17,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 1,232 | $17,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 422 | $17,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 931 | $17,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 500 | $17,000 | thousands by filing date | call |
| DERMIRA INC | 24983L104 | COM | 2,070 | $17,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 493 | $17,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 6,428 | $17,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 5,545 | $17,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 875 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E521 | FUND | 344 | $17,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 1,583 | $17,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 4,861 | $17,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 47,213 | $17,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,729 | $17,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 4,383 | $17,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 2,500 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 664 | $17,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 541 | $17,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 583 | $17,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,000 | $17,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 1,330 | $17,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 1,175 | $17,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 350 | $17,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 33,680 | $17,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 6,210 | $17,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 2,500 | $17,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 26,383 | $17,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 684 | $17,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 4,603 | $17,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 3,818 | $17,000 | thousands by filing date | |
| CONVERGEONE HLDGS INC | 212481105 | COM CL A | 1,821 | $17,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 2,900 | $17,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 10,101 | $17,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 1,650 | $17,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 1,856 | $17,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y805 | ETF | 557 | $17,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V206 | UNIT 99/99/9999 | 1,700 | $17,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H209 | COM NEW | 38,793 | $17,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 3,099 | $17,000 | thousands by filing date | |
| I AM CAP ACQUISITION CO | 45074Q108 | COM | 1,670 | $17,000 | thousands by filing date | |
| DRAPER OAKWOOD TECHNOLOGY | 26146L103 | COM CL A | 1,700 | $17,000 | thousands by filing date | |
| SPINNAKER ETF TR | 84858T103 | FIELDSTONE MERLN | 572 | $17,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 2,171 | $16,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 100 | $16,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 570 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 100 | $16,000 | thousands by filing date | put |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 503 | $16,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 2,255 | $16,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 1,802 | $16,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 507 | $16,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 946 | $16,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 700 | $16,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 670 | $16,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 2,443 | $16,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 2,257 | $16,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,534 | $16,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 786 | $16,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 5,124 | $16,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 495 | $16,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 2,095 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 333 | $16,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 16,263 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 554 | $16,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 1,601 | $16,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 9,834 | $16,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 3,316 | $16,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 2,120 | $16,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 752 | $16,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 2,284 | $16,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $16,000 | thousands by filing date | principal |
| PCM INC | 69323K100 | COM | 1,867 | $16,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 2,230 | $16,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 143 | $16,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D787 | VIX MID TERM | 2,108 | $16,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 1,019 | $16,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 601 | $16,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 1,381 | $16,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 431 | $16,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 2,600 | $16,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 1,923 | $16,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,400 | $16,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 6,516 | $16,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 5,811 | $16,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 437 | $16,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 4,366 | $16,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 892 | $16,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 3,716 | $16,000 | thousands by filing date | |
| CDTI ADVANCED MATLS INC | 12514V105 | COM | 16,150 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 399 | $16,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 2,673 | $16,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 70,367 | $16,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 8,226 | $16,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 1,069 | $16,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 700 | $16,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 591 | $16,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 4,127 | $16,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 17,260 | $16,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 2,232 | $16,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 28,496 | $16,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 100 | $15,000 | thousands by filing date | put |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 800 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 532 | $15,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 893 | $15,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 752 | $15,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,821 | $15,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 3,379 | $15,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 600 | $15,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 4,716 | $15,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 651 | $15,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 591 | $15,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 3,872 | $15,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 2,196 | $15,000 | thousands by filing date | |
| LONGFIN CORP CLASS A | 54304F106 | COMMON STOCK | 843 | $15,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 2,100 | $15,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 1,981 | $15,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 1,252 | $15,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 3,920 | $15,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 2,100 | $15,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 8,939 | $15,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 246 | $15,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 2,643 | $15,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 2,573 | $15,000 | thousands by filing date | |
| NANOVIBRONIX INC | 63008J108 | COM | 3,144 | $15,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25460E539 | ETF | 421 | $15,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 944 | $15,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,050 | $15,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 2,598 | $15,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 13,211 | $15,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 5,559 | $15,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 1,680 | $15,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 3,183 | $15,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L121 | UNIT 99/99/9999 | 1,500 | $15,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 3,056 | $15,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 5,345 | $15,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q829 | MANAGED FUTURE | 596 | $15,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784101 | SPONSORED ADR | 1,532 | $15,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 1,507 | $15,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q494 | BUZZ US SMT LDR | 463 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051473 | XTRCK BRCLY TRSY | 304 | $15,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W123 | UNIT 03/22/2022 | 1,400 | $15,000 | thousands by filing date | |
| ISHARES INC | 46434G871 | MIN VOLA EM | 557 | $15,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 1,185 | $14,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 100 | $14,000 | thousands by filing date | put |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 941 | $14,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 2,500 | $14,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 519 | $14,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 3,073 | $14,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 276 | $14,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 1,458 | $14,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 536 | $14,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,083 | $14,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,113 | $14,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 703 | $14,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,659 | $14,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 582 | $14,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 2,981 | $14,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 1,291 | $14,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 9,821 | $14,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 931 | $14,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 948 | $14,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 1,196 | $14,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 1,608 | $14,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 5,400 | $14,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,993 | $14,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,957 | $14,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 5,095 | $14,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 10,359 | $14,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,721 | $14,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 5,707 | $14,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 10,288 | $14,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 1,539 | $14,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 1,558 | $14,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 1,588 | $14,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 13,710 | $14,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 300 | $14,000 | thousands by filing date | |
| CLEMENTIA PHARMACEUTICALS IN | 185575107 | COM | 908 | $14,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 3,777 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 323 | $14,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 375 | $14,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,964 | $14,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 235 | $14,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 1,671 | $14,000 | thousands by filing date | |
| ALLIANCE MMA INC | 018626101 | COM | 30,000 | $14,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 1,391 | $14,000 | thousands by filing date | |
| NEMAURA MED INC | 640442109 | COM | 3,107 | $14,000 | thousands by filing date | |
| ARROW INVTS TR DOGS OF THE | 042765693 | CEF | 285 | $14,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 454 | $14,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 785 | $14,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E204 | UNIT 07/27/2022 | 1,300 | $14,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 4,399 | $14,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G855 | ISECTR GRW ETF | 527 | $14,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847208 | SHS | 4,588 | $14,000 | thousands by filing date | |
| M I ACQUISITIONS INC | 55304A112 | *W EXP 11/15/202 | 17,700 | $14,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D168 | VELOCITYSHS TAIL | 1,136 | $14,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 1,545 | $13,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 2,413 | $13,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 200 | $13,000 | thousands by filing date | put |
| NATERA INC COM | 632307104 | Stock | 1,447 | $13,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 200 | $13,000 | thousands by filing date | put |
| NEW GOLD INC CDA | 644535106 | COM | 5,000 | $13,000 | thousands by filing date | put |
| ENERGY FUELS INC | 292671708 | COM NEW | 7,196 | $13,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,378 | $13,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,942 | $13,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 3,100 | $13,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 4,500 | $13,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 1,620 | $13,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 387 | $13,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 1,627 | $13,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 2,179 | $13,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 407 | $13,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 5,688 | $13,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 9,288 | $13,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 14,708 | $13,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 2,163 | $13,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 4,398 | $13,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 9,464 | $13,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 3,700 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 490 | $13,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 4,284 | $13,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 1,403 | $13,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 668 | $13,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 877 | $13,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 219 | $13,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 10,220 | $13,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 1,156 | $13,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 11,249 | $13,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 3,227 | $13,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 6,158 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K125 | DAILY S&P OIL | 1,051 | $13,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 6,876 | $13,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 1,754 | $13,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,254 | $13,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 2,902 | $13,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 6,076 | $13,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 2,547 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E653 | DLY EUR STX 3X | 513 | $13,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 9,000 | $13,000 | thousands by filing date | principal |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 1,372 | $13,000 | thousands by filing date | |
| CAMBRIA ETF TR CORE EQUITY | 132061854 | CEF | 500 | $13,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 1,300 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 365 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 523 | $13,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 781 | $13,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90270L354 | SER B LKD 46 | 355 | $13,000 | thousands by filing date | |
| USAA ETF TR | 90291F501 | CORE SHRT BD | 269 | $13,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 9,000 | $13,000 | thousands by filing date | principal |
| ATLANTIC ACQUISITION CORP | 048206205 | UNIT 02/08/2019 | 1,300 | $13,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 414 | $12,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 288 | $12,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 4,000 | $12,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 200 | $12,000 | thousands by filing date | put |
| CENTURY ALUM CO | 156431108 | COM | 700 | $12,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 794 | $12,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 692 | $12,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 11,030 | $12,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 8,429 | $12,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 2,950 | $12,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 4,149 | $12,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 1,138 | $12,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 4,988 | $12,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 14,000 | $12,000 | thousands by filing date | principal |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 13,276 | $12,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 1,860 | $12,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 9,000 | $12,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 1,285 | $12,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 54,280 | $12,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 1,655 | $12,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 127 | $12,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 5,873 | $12,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 300 | $12,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 10,770 | $12,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 961 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 180 | $12,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 3,930 | $12,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 5,011 | $12,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 435 | $12,000 | thousands by filing date | |
| DOGNESS INTERNATIONAL CORP | G2788T103 | COM CL A | 3,051 | $12,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C808 | COM PAR | 3,862 | $12,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 993 | $12,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 2,504 | $12,000 | thousands by filing date | |
| FFBW INC | 30258M107 | COM | 1,134 | $12,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 712 | $12,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 5,159 | $12,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 7,500 | $12,000 | thousands by filing date | |
| PLATINUM EAGLE ACQUISITIN CO | G7126L126 | UNIT 01/09/2023 | 1,150 | $12,000 | thousands by filing date | |
| MONAKER GROUP INC | 609011200 | COM NEW | 2,976 | $12,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q811 | LONG SHORT ETF | 500 | $12,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B201 | UNIT 99/99/9999 | 1,108 | $12,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 369 | $12,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E889 | PROSPOTS SPONR | 532 | $12,000 | thousands by filing date | |
| MATLIN & PARTNE | 57682V205 | Common Stock | 1,206 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 1,410 | $12,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D150 | VELOCITYSHS SHRT | 882 | $12,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 100 | $11,000 | thousands by filing date | put |
| UNIQURE NV | N90064101 | SHS | 483 | $11,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 533 | $11,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 380 | $11,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 3,174 | $11,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 200 | $11,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E869 | DAILY 500 1X ETF | 362 | $11,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 479 | $11,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 335 | $11,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P637 | FTSE JAPAN HDG | 447 | $11,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 370 | $11,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 2,870 | $11,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,598 | $11,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 48,128 | $11,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 1,800 | $11,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 833 | $11,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 4,864 | $11,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 345 | $11,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 4,069 | $11,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 2,244 | $11,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 8,437 | $11,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 11,134 | $11,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 298 | $11,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 560 | $11,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 3,642 | $11,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 646 | $11,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 257 | $11,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 1,978 | $11,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,512 | $11,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 4,692 | $11,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 7,303 | $11,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 630 | $11,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 4,739 | $11,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 763 | $11,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 2,065 | $11,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 2,438 | $11,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 805 | $11,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 5,840 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X350 | SOLACTIVE GERMNY | 168 | $11,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 21,257 | $11,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 3,527 | $11,000 | thousands by filing date | |
| ASV HLDGS INC | 00215L104 | COM | 1,518 | $11,000 | thousands by filing date | |
| INPIXON | 45790J305 | COM NEW | 9,866 | $11,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 3,984 | $11,000 | thousands by filing date | |
| GCAP 4.1250 18 | 36268WAB6 | Bond 30/360P2 U | 10,000 | $11,000 | thousands by filing date | principal |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 200 | $10,000 | thousands by filing date | put |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 100 | $10,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 3,569 | $10,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 2,020 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 400 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 285 | $10,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 734 | $10,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 1,169 | $10,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 655 | $10,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 280 | $10,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 3,046 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B557 | SP500 EX TECH | 199 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 450 | $10,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,965 | $10,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 276 | $10,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 6,530 | $10,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,429 | $10,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 884 | $10,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 8,222 | $10,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,064 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A727 | CLEARSHS OCIO | 378 | $10,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 4,362 | $10,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 5,429 | $10,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 345 | $10,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 486 | $10,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 8,967 | $10,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 23,459 | $10,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 8,007 | $10,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 797 | $10,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 1,000 | $10,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 759 | $10,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 1,539 | $10,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 25,520 | $10,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 916 | $10,000 | thousands by filing date | |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 2,881 | $10,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 8,733 | $10,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 6,000 | $10,000 | thousands by filing date | principal |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 2,084 | $10,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 2,617 | $10,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 1,674 | $10,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 1,050 | $10,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 9,102 | $10,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 16,943 | $10,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 1,269 | $10,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 214 | $10,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 500 | $10,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 10,783 | $10,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 2,589 | $10,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 500 | $10,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 192 | $10,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 1,026 | $10,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,632 | $10,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 437 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 350 | $10,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 2,053 | $10,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 5,755 | $10,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 2,665 | $10,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 16,651 | $10,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468104 | COM | 8,240 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 575 | $10,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,000 | $10,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 1,172 | $10,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 5,706 | $10,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 339 | $10,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 400 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 351 | $10,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 1,549 | $10,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 9,000 | $10,000 | thousands by filing date | principal |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 4,599 | $10,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 10,000 | $10,000 | thousands by filing date | principal |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 1,000 | $10,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 29,245 | $10,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 7,889 | $10,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 4,958 | $10,000 | thousands by filing date | |
| CHINA COML CR INC | 16891K103 | COM | 8,899 | $10,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS LTD | M1492T105 | SHS | 1,879 | $10,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D357 | VELOCITY SHS SHR | 1,027 | $10,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 11,639 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B290 | PUREBET MSCI USA | 379 | $10,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 179 | $9,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 431 | $9,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 70 | $9,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 831 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 181 | $9,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 236 | $9,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 200 | $9,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 445 | $9,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,380 | $9,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 378 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 334 | $9,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 2,897 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 250 | $9,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 4,972 | $9,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 6,182 | $9,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 746 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R738 | CMN | 440 | $9,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 11,650 | $9,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 417 | $9,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 6,408 | $9,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 364 | $9,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 826 | $9,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 7,670 | $9,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 1,387 | $9,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 300 | $9,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 1,259 | $9,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 2,189 | $9,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 6,794 | $9,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 1,212 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 187 | $9,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,998 | $9,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,617 | $9,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 3,008 | $9,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 3,098 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 300 | $9,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 7,095 | $9,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 6,162 | $9,000 | thousands by filing date | |
| IPATH INVERSE S&P 500 VIX SH | 06740L592 | ETP | 238 | $9,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,315 | $9,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 1,300 | $9,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 2,662 | $9,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 1,250 | $9,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 5,046 | $9,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 32,682 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| USCF FDS TR | 91733T406 | US 3X SHRT OIL | 1,081 | $9,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 1,493 | $9,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 24,927 | $9,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 344 | $9,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 162 | $9,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 3,923 | $9,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 8,000 | $9,000 | thousands by filing date | principal |
| ONE MADISON CORP | G6772P100 | COM CL A | 900 | $9,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 951 | $9,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 2,305 | $9,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 3,136 | $9,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 900 | $9,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 2,169 | $9,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 500 | $9,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 4,371 | $9,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 1,230 | $9,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 8,000 | $9,000 | thousands by filing date | principal |
| TapImmune Inc | 876033408 | COM | 2,795 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 325 | $9,000 | thousands by filing date | |
| MERIDIAN WASTE SOLUTIONS INC | 58985L209 | COM | 14,419 | $9,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 458 | $8,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 1,000 | $8,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 13,441 | $8,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 9,917 | $8,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 1,000 | $8,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 1,150 | $8,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 850 | $8,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 157 | $8,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 187 | $8,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,623 | $8,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 1,650 | $8,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,246 | $8,000 | 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 |