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 |
|---|---|---|---|---|---|---|
| SIEBERT FINL CORP | 826176109 | COM | 1,003 | $8,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 315 | $8,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 3,405 | $8,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 687 | $8,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 6,213 | $8,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 1,624 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 471 | $8,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 1,209 | $8,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 2,857 | $8,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 12,001 | $8,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 1,030 | $8,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 2,187 | $8,000 | thousands by filing date | |
| Yogaworks, Inc. | 986005106 | com | 2,696 | $8,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 4,459 | $8,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 21,212 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 286 | $8,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 9,986 | $8,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 1,176 | $8,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 12,786 | $8,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 1,875 | $8,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 22,525 | $8,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 3,991 | $8,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 530 | $8,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 22,000 | $8,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 274 | $8,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 423 | $8,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 313 | $8,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 520 | $8,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 7,000 | $8,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 1,331 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 208 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 407 | $8,000 | thousands by filing date | |
| ARGOS THERAPEUTICS ORD | 040221202 | COM | 9,354 | $8,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 2,394 | $8,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,223 | $8,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 2,338 | $8,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 270 | $8,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 29,700 | $8,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 5,016 | $8,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 5,000 | $8,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 1,844 | $8,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 3,687 | $8,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 33,627 | $8,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 1,000 | $8,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 411 | $8,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 3,989 | $8,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 1,889 | $8,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 8,000 | $8,000 | thousands by filing date | principal |
| EP ENERGY CORP | 268785102 | CL A | 6,044 | $8,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 1,758 | $8,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H304 | COM PAR | 9,064 | $8,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827102 | UNIT 99/99/9999 | 770 | $8,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 6,967 | $8,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 625 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS APTUS FORTIFIED | 26922A610 | Stock | 300 | $8,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P702 | LIBRT INT OPPT | 290 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 295 | $8,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 838 | $8,000 | thousands by filing date | |
| ISHARES EDGE MSCI MIN VOL EAFE CURRENCY HEDGED ETF | 46435G714 | ETF | 287 | $8,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 3,636 | $8,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505772 | REX VOLMAX LNG | 345 | $8,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 600 | $7,000 | thousands by filing date | call |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 2,990 | $7,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 130 | $7,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 1,807 | $7,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 496 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 190 | $7,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 3,108 | $7,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 1,041 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 380 | $7,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 435 | $7,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 840 | $7,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 5,519 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 103 | $7,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 392 | $7,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 2,785 | $7,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 5,040 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 200 | $7,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 1,083 | $7,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 2,000 | $7,000 | thousands by filing date | principal |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 238 | $7,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,418 | $7,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 2,480 | $7,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 727 | $7,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 97 | $7,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 5,000 | $7,000 | thousands by filing date | principal |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 6,888 | $7,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 6,000 | $7,000 | thousands by filing date | principal |
| MITCHAM INDS INC COM | 606501104 | COM | 2,241 | $7,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,607 | $7,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $7,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 3,305 | $7,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,556 | $7,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 4,426 | $7,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 3,559 | $7,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 800 | $7,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 3,145 | $7,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 2,105 | $7,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 1,184 | $7,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 356 | $7,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 1,746 | $7,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 749 | $7,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 2,036 | $7,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 2,134 | $7,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 370 | $7,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 2,462 | $7,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 263 | $7,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 1,304 | $7,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 819 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 202 | $7,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 3,441 | $7,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 1,615 | $7,000 | thousands by filing date | |
| CODE CHAIN NEW CONTINENT LTD COM | 87266C109 | Stock | 800 | $7,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 150 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A495 | VOLSHARES LARG | 300 | $7,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 975 | $7,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 492 | $7,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,314 | $7,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 383 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 427 | $7,000 | thousands by filing date | |
| NETSHOES CAYMAN LTD | G6455X107 | COM | 1,202 | $7,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 5,185 | $7,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 3,894 | $7,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 5,257 | $7,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 7,000 | $7,000 | thousands by filing date | principal |
| ConvergeOne Holdings, Inc. | 212481113 | *W EXP 04/12/202 | 5,582 | $7,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 100 | $6,000 | thousands by filing date | |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 291 | $6,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 623 | $6,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 400 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 200 | $6,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 600 | $6,000 | thousands by filing date | put |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 118 | $6,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 2,036 | $6,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 500 | $6,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 362 | $6,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 226 | $6,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,854 | $6,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 1,594 | $6,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 2,064 | $6,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 692 | $6,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 1,014 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 208 | $6,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 1,420 | $6,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 267 | $6,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 530 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,234 | $6,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 217 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 175 | $6,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 3,394 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 235 | $6,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,357 | $6,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 266 | $6,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 4,155 | $6,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 931 | $6,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 502 | $6,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 5,000 | $6,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 201 | $6,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 493 | $6,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,070 | $6,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 1,921 | $6,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,143 | $6,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 2,000 | $6,000 | thousands by filing date | principal |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 1,416 | $6,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,250 | $6,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 1,523 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 131 | $6,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 19,728 | $6,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 368 | $6,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 79 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 100 | $6,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 175 | $6,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 136 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $6,000 | thousands by filing date | principal |
| KRANESHARES TRUST | 500767801 | MSCI ALL CHINA | 239 | $6,000 | thousands by filing date | |
| CAMBER ENERGY INC | 13200M201 | COM NEW | 8,132 | $6,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 2,801 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E836 | DLY SEMICNDTR 3X | 479 | $6,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 581 | $6,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 2,826 | $6,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 455 | $6,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H666 | FRMLAFOLIOS TATL | 249 | $6,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 2,582 | $6,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 2,521 | $6,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 2,143 | $6,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 2,791 | $6,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 1,851 | $6,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 5,166 | $6,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 724 | $6,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 2,910 | $6,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 7,000 | $6,000 | thousands by filing date | principal |
| SIGMA LABS INC | 826598302 | COM PAR | 3,846 | $6,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 1,523 | $6,000 | thousands by filing date | |
| INDUSTREA ACQUISITION CORP | 45579J203 | UNIT 07/21/2024 | 600 | $6,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 2,673 | $6,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 43,396 | $6,000 | thousands by filing date | |
| ROSETTA GENOMICS | M82183209 | Equities | 14,870 | $6,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 5,053 | $6,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 4,159 | $6,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 2,390 | $6,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 1,124 | $6,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 497 | $6,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 6,000 | $6,000 | thousands by filing date | principal |
| LANDCADIA HLDGS INC | 51476W206 | UNIT 12/31/2021T | 600 | $6,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,000 | $6,000 | thousands by filing date | principal |
| SPI ENERGY CO LTD | G8651P201 | SHS | 9,946 | $6,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 31,797 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051796 | XTRACK MSCI MEX | 341 | $6,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 400 | $5,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 2,820 | $5,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 200 | $5,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 3,550 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J842 | MULTIFACTR SML | 184 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 153 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 189 | $5,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 100 | $5,000 | thousands by filing date | put |
| MRC GLOBAL INC | 55345K103 | COM | 300 | $5,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 190 | $5,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 2,113 | $5,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 740 | $5,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 1,663 | $5,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 538 | $5,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 1,962 | $5,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 182 | $5,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 100 | $5,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 146 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 176 | $5,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 1,284 | $5,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 195 | $5,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 1,773 | $5,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| SEASPINE HLDGS CORP | 81255T108 | COM | 507 | $5,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 1,137 | $5,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 610 | $5,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 2,423 | $5,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 827 | $5,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 180 | $5,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 726 | $5,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 1,551 | $5,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 5,000 | $5,000 | thousands by filing date | principal |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,062 | $5,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 535 | $5,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 5,360 | $5,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 301 | $5,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 927 | $5,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 5,903 | $5,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 2,511 | $5,000 | thousands by filing date | |
| Call - ZION $36.27 Exp 11/14/2018 | 989701131 | Warrants | 300 | $5,000 | thousands by filing date | |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 3,604 | $5,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,751 | $5,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 2,881 | $5,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 1,982 | $5,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 2,012 | $5,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $5,000 | thousands by filing date | principal |
| CORMEDIX INC | 21900C100 | COM | 28,700 | $5,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 3,836 | $5,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 4,502 | $5,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 593 | $5,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 4,437 | $5,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 24,169 | $5,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 88,900 | $5,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 960 | $5,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 1,289 | $5,000 | thousands by filing date | |
| AMERICAN CUSTOMER SATISFACTION ETF | 26922A776 | ETF | 155 | $5,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 432 | $5,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 2,437 | $5,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 440 | $5,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 775 | $5,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 250 | $5,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C200 | COM NEW | 15,648 | $5,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 4,000 | $5,000 | thousands by filing date | principal |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 200 | $5,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 2,481 | $5,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 198 | $5,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 3,811 | $5,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,000 | $5,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 1,392 | $5,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 71 | $5,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P404 | mc | 95 | $5,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 1,701 | $5,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | G62848117 | UNIT 99/99/9999 | 544 | $5,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL ROTN | 00400R866 | CEF | 192 | $5,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E480 | VELCTYSHS USDEUR | 165 | $5,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 3,000 | $5,000 | thousands by filing date | principal |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 1,504 | $5,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 10,000 | $5,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K743 | VELOCITYSHS LONG | 138 | $5,000 | thousands by filing date | |
| IPIC ENTMT INC | 46263D106 | COM CL A | 420 | $5,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J118 | *W EXP 03/06/202 | 6,047 | $5,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156119 | SHS NEW | 2,317 | $5,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 4,000 | $5,000 | thousands by filing date | principal |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 4,002 | $5,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 4,000 | $5,000 | thousands by filing date | principal |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 5,169 | $5,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 78 | $5,000 | thousands by filing date | |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 1,261 | $5,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 6,496 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G854 | MSCI ACWI ETF | 173 | $5,000 | thousands by filing date | |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| RMG NETWORKS HLDG CORP | 74966K300 | COM NEW | 3,285 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y640 | ICONIC US | 350 | $5,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADE | 41653L107 | CORPORATE BD ETF | 95 | $5,000 | thousands by filing date | |
| STRATEGY SHS | 86280R308 | ACTIVE ALTS | 200 | $5,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 956 | $4,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 100 | $4,000 | thousands by filing date | put |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 1,100 | $4,000 | thousands by filing date | put |
| FLOWSERVE CORP | 34354P105 | COM | 100 | $4,000 | thousands by filing date | call |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 77 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 131 | $4,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 1 | $4,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 73 | $4,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 130 | $4,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 259 | $4,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 357 | $4,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 892 | $4,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 54 | $4,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 820 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 135 | $4,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 1,450 | $4,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 2,518 | $4,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 134 | $4,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 299 | $4,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 1,420 | $4,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 2,393 | $4,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 990 | $4,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 750 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R779 | EMERGING MKTS | 75 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 86 | $4,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 2,678 | $4,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 148 | $4,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 200 | $4,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 1,400 | $4,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 297 | $4,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 106 | $4,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 140 | $4,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 3,000 | $4,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 113 | $4,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 517 | $4,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 4,078 | $4,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 1,976 | $4,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 270 | $4,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 1,430 | $4,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 4,000 | $4,000 | thousands by filing date | principal |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 3,655 | $4,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 3,021 | $4,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 152 | $4,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 21,897 | $4,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 2,000 | $4,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 684 | $4,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 1,617 | $4,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 516 | $4,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 121 | $4,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 10,574 | $4,000 | thousands by filing date | |
| ASSOCIATED BANC CORP | 045487113 | WTS | 800 | $4,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 1,483 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 491 | $4,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 1,413 | $4,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 2,387 | $4,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 2,965 | $4,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 165 | $4,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 1,100 | $4,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 2,956 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 126 | $4,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 2,375 | $4,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,000 | $4,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 4,290 | $4,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 125 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 336 | $4,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 4,335 | $4,000 | thousands by filing date | |
| LONG BLOCKCHAIN CORP | 542614102 | COM | 1,667 | $4,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 1,226 | $4,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 1,074 | $4,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 1,500 | $4,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760102 | COM CL A | 400 | $4,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 2,000 | $4,000 | thousands by filing date | principal |
| INDUSTREA ACQUISITION CORP | 45579J104 | CL A | 384 | $4,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 4,000 | $4,000 | thousands by filing date | principal |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 247 | $4,000 | thousands by filing date | |
| SHINECO INC COM NEW | 824567200 | Stock | 2,450 | $4,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 1,200 | $4,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 1,359 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 275 | $4,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385204 | UNIT 12/31/2020 | 634 | $4,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 1,118 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E752 | DLY MSCI MX 3X | 166 | $4,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 1,363 | $4,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 2,721 | $4,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 671 | $4,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L208 | EMRG MKT DIV ETF | 115 | $4,000 | thousands by filing date | |
| TPG PACE ENERGY HLDGS CORP | 872656111 | *W EXP 99/99/999 | 2,000 | $4,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 375 | $4,000 | thousands by filing date | |
| CISION LTD | G1992S117 | *W EXP 06/22/202 | 1,523 | $4,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 3,000 | $4,000 | thousands by filing date | principal |
| TURTLE BEACH CORP COM | 900450107 | Stock | 6,644 | $4,000 | thousands by filing date | |
| INFOSONICS CORP | 456784305 | COM PAR | 575 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G573 | MLTFACT MATLS | 136 | $4,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G821 | SPIRITED ETFMG | 128 | $4,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G201 | SPONSORD ADR NEW | 3,339 | $4,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 228 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 45 | $3,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 465 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 80 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 150 | $3,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 357 | $3,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 1,275 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 100 | $3,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 688 | $3,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 1,537 | $3,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 365 | $3,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 4,854 | $3,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 954 | $3,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,089 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 67 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $3,000 | thousands by filing date | principal |
| FULL HSE RESORTS INC | 359678109 | COM | 1,000 | $3,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 1,123 | $3,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 120 | $3,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 874 | $3,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 5,818 | $3,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 1,159 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 138 | $3,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 1,059 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 200 | $3,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 293 | $3,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 527 | $3,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 1,109 | $3,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 2,859 | $3,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 13,975 | $3,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 455 | $3,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 1,972 | $3,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 100 | $3,000 | thousands by filing date | put |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 481 | $3,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 100 | $3,000 | thousands by filing date | put |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 100 | $3,000 | thousands by filing date | put |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 200 | $3,000 | thousands by filing date | put |
| ATENTO S A | L0427L105 | SHS | 380 | $3,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 147 | $3,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 1,787 | $3,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 194 | $3,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 1,979 | $3,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 2,000 | $3,000 | thousands by filing date | principal |
| INTEVAC INC | 461148108 | COM | 464 | $3,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 1,169 | $3,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 294 | $3,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 621 | $3,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 706 | $3,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 1,334 | $3,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 197 | $3,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 3,000 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| PSIVIDA CORP | 74440J101 | COM | 2,328 | $3,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 9,475 | $3,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 9,186 | $3,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 967 | $3,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 2,367 | $3,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 3,288 | $3,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 1,451 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 163 | $3,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 1,590 | $3,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 2,534 | $3,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 100 | $3,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 200 | $3,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 666 | $3,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 140 | $3,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 11,345 | $3,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 192 | $3,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 6,190 | $3,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 6,749 | $3,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 2,348 | $3,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 700 | $3,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 2,250 | $3,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 2,426 | $3,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 3,398 | $3,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| RESONANT INC | 76118L102 | COM | 967 | $3,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 1,651 | $3,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 2,154 | $3,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 1,998 | $3,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 178 | $3,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 125 | $3,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 184 | $3,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 500 | $3,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 1,204 | $3,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 2,677 | $3,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,500 | $3,000 | thousands by filing date | |
| LEVEL BRANDS INC | 52730Q209 | COM NEW | 621 | $3,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L400 | COM PAR | 3,399 | $3,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 3,008 | $3,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 383 | $3,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 673 | $3,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 15,129 | $3,000 | thousands by filing date | |
| CHINA RECYCLING ENERGY CORP | 168913200 | COM NEW | 2,033 | $3,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 4,948 | $3,000 | 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 |