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 |
|---|---|---|---|---|---|---|
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 4,000 | $3,000 | thousands by filing date | principal |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 2,573 | $3,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 1,000 | $3,000 | thousands by filing date | principal |
| ETF SER SOLUTIONS | 26922A735 | SERENITYSHS IM | 106 | $3,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 986 | $3,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 11,155 | $3,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505830 | REX VOLMAX SHORT | 984 | $3,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC | 761123108 | COM | 1,801 | $3,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 13,218 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B381 | DWA MOMTM VOLT | 82 | $3,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A150 | RIGHT 05/15/2018 | 22,630 | $3,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U878 | HENDERSON SG GBL | 100 | $3,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W460 | GUGGENHM MULTI | 100 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 20 | $2,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 100 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 100 | $2,000 | thousands by filing date | put |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 128 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 29 | $2,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 18 | $2,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 564 | $2,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 32 | $2,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 82 | $2,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 123 | $2,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 1,649 | $2,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 500 | $2,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 350 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 22 | $2,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 1,928 | $2,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 79 | $2,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 130 | $2,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 84 | $2,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 728 | $2,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 200 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 33 | $2,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 551 | $2,000 | thousands by filing date | |
| ELTEK LTD | M40184208 | SHS | 666 | $2,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 62 | $2,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 549 | $2,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 1,591 | $2,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 2,157 | $2,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 1,129 | $2,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 400 | $2,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 797 | $2,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 198 | $2,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 800 | $2,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,008 | $2,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 905 | $2,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 1,000 | $2,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 455 | $2,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 752 | $2,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 3,830 | $2,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 535 | $2,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 1,791 | $2,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 419 | $2,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 1,629 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 31 | $2,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 106 | $2,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 1,290 | $2,000 | thousands by filing date | |
| IPATH PURE BETA GRAINS | 06740P270 | CMN | 66 | $2,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 356 | $2,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 2,368 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L527 | 30 YR TREAS BULL | 45 | $2,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 914 | $2,000 | thousands by filing date | |
| LINIU TECHNOLOGY GROUP | G54971208 | SNC | 1,116 | $2,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 59 | $2,000 | thousands by filing date | |
| FIRST TRUST MULTI STRGY ALTER ETF | 73935B870 | ALT MULTI STRG | 82 | $2,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 333 | $2,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 438 | $2,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 134,976 | $2,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 827 | $2,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 887 | $2,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265308 | SHS NEW | 2,132 | $2,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931503 | COM PAR NEW | 1,747 | $2,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F607 | EQUITYCOMPASS | 75 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 44 | $2,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 45 | $2,000 | thousands by filing date | |
| FARMMI INC SHS NEW | G33277107 | Stock | 251 | $2,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 301 | $2,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 2,124 | $2,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 562 | $2,000 | thousands by filing date | |
| MABVAX THERAPEUTICS | 55414P702 | Equities | 1,652 | $2,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC | 29273B112 | *W EXP 05/08/202 | 3,200 | $2,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 180 | $2,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 1,000 | $2,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 1,000 | $2,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 1,016 | $2,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 485 | $2,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 245 | $2,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 505 | $2,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E571 | VELCTYSHS EURUSD | 100 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y509 | Cmn | 50 | $2,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754403 | COM PAR | 2,401 | $2,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 200 | $2,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 3,786 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B870 | CDS SH NA HYCR | 54 | $2,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 1,607 | $2,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 2,000 | $2,000 | thousands by filing date | principal |
| CONSTELLATION ALPHA CAP CORP | G2379F108 | SHS | 200 | $2,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F124 | UNIT 99/99/9999 | 195 | $2,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 881 | $2,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A206 | UNIT 02/28/2021 | 230 | $2,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 864 | $2,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B128 | RIGHT 99/99/9999 | 4,100 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051556 | XTRCK GERMNY EQT | 100 | $2,000 | thousands by filing date | |
| AURIS MED HLDG AG | H0381L104 | COM | 1,502 | $2,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y115 | *W EXP 12/24/201 | 245 | $2,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 1,000 | $2,000 | thousands by filing date | principal |
| OPGEN INC | 68373L208 | COM NEW | 1,275 | $2,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 2,036 | $2,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 2,000 | $2,000 | thousands by filing date | principal |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 9,140 | $2,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 2,870 | $2,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L209 | COM NEW | 2,336 | $2,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 10,000 | $2,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H682 | QUTX RSK MNDRE | 100 | $2,000 | thousands by filing date | |
| CSOP ETF TR | 12649L303 | CHINA CSI 300 | 71 | $2,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 2 | $1,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 396 | $1,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 190 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 288 | $1,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 624 | $1,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 35 | $1,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 203 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 878 | $1,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 185 | $1,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 86 | $1,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 20 | $1,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 100 | $1,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 78 | $1,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 81 | $1,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 39 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 30 | $1,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE VALUE ETF | 02072L201 | ETF | 16 | $1,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 20 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y857 | US MULTIFACTOR | 45 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 38 | $1,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 191 | $1,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 96 | $1,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 36 | $1,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 43 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 54 | $1,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 406 | $1,000 | thousands by filing date | |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 63 | $1,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 19 | $1,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $1,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 752 | $1,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 145 | $1,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 300 | $1,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 200 | $1,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 139 | $1,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 1,093 | $1,000 | thousands by filing date | |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 44 | $1,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 525 | $1,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 320 | $1,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 600 | $1,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 862 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 335 | $1,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 1,065 | $1,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 189 | $1,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 3,075 | $1,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 23 | $1,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 373 | $1,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 775 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 55 | $1,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 70 | $1,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 587 | $1,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 24,000 | $1,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 15 | $1,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 8 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H541 | PSHS AGRI SHR38 | 29 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 40 | $1,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 49 | $1,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 48 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 10 | $1,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 153 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H453 | FUND | 30 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P403 | RUSS2000 3X LG | 3 | $1,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 252 | $1,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 3,262 | $1,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 998 | $1,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 600 | $1,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 45 | $1,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 12,202 | $1,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 489 | $1,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 674 | $1,000 | thousands by filing date | |
| SHARING ECONOMY INTL INC | 819534108 | COM | 320 | $1,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F104 | COM | 513 | $1,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 1,000 | $1,000 | thousands by filing date | principal |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 407 | $1,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 322 | $1,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 128 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T456 | ETN LKD 34 | 104 | $1,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 502 | $1,000 | thousands by filing date | |
| PRINCIPAL CONTRARIAN VALUE INDEX ETF | 74255Y862 | ETF | 25 | $1,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 15 | $1,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 25 | $1,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935300 | US LIQUIDITY | 10 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 62 | $1,000 | thousands by filing date | |
| IMMURON LTD | Q4867H223 | *W EXP 06/08/202 | 132 | $1,000 | thousands by filing date | |
| CEMTREX INC | 15130G113 | *W EXP 12/02/202 | 2,100 | $1,000 | thousands by filing date | |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 3,905 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051564 | XTRCK EURZON EQT | 49 | $1,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 697 | $1,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 3,421 | $1,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 1,960 | $1,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 1,714 | $1,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L113 | *W EXP 06/15/202 | 1,000 | $1,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760145 | *W EXP 11/10/202 | 4,900 | $1,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | G0726L125 | Stock | 100 | $1,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC | 68232V116 | *W EXP 07/11/202 | 3,592 | $1,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 642 | $1,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 704 | $1,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R129 | *W EXP 99/99/999 | 677 | $1,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P111 | *W EXP 05/17/202 | 1,975 | $1,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 50 | $1,000 | thousands by filing date | |
| AMERI HLDGS INC WT EXP 110823 | 02362F112 | Stock | 3,349 | $1,000 | thousands by filing date | |
| KITOV PHARMA LTD | 49803V115 | *W EXP 11/25/202 | 1,940 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 3,300 | $1,000 | thousands by filing date | |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 7,590 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A203 | UNIT 01/15/2024 | 112 | $1,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| AMEDICA CORP | 023435407 | COM PAR | 596 | $1,000 | thousands by filing date | |
| Sensus Healthcare, Inc @6.75 6 | 81728J117 | warrants | 1,545 | $1,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 515 | $1,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 400 | $1,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N122 | *W EXP 06/08/202 | 2,401 | $1,000 | thousands by filing date | |
| USAA ETF TR | 90291F303 | MSCI INTL VLU | 18 | $1,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 674 | $1,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N136 | RIGHT 08/21/2022 | 2,800 | $1,000 | thousands by filing date | |
| MYND ANALYTICS INC | 62857N202 | COM NEW | 964 | $1,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 344 | $1,000 | thousands by filing date | |
| NOVUME SOLUTIONS INC | 67012D106 | COM | 259 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A186 | ULTRPRO SHRT NEW | 123 | $1,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 38,466 | $1,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B110 | *W EXP 03/07/202 | 3,900 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 33 | $1,000 | thousands by filing date | |
| ONE MADISON CORP | G6772P126 | *W EXP 99/99/999 | 800 | $1,000 | thousands by filing date | |
| SOLENO THERAPEUTICS INC | 834203135 | *W EXP 11/12/201 | 10,418 | $1,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 1,537 | $1,000 | thousands by filing date | |
| XPRESSPA GROUP INC | 98420U109 | COM | 891 | $1,000 | thousands by filing date | |
| JMU LTD | 46647L105 | SPONSORED ADR | 1,209 | $1,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 374 | $1,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 5,400 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 4,735 | $1,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X204 | COM NEW | 830 | $1,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V127 | *W EXP 02/11/202 | 6,570 | $1,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V119 | RIGHT 08/11/2017 | 2,034 | $1,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505863 | REX GOLD SP500 | 16 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435G599 | MLTFACT ENERGY | 43 | $1,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 1,000 | $1,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B365 | S&P SMLCP HIG VO | 59 | $1,000 | thousands by filing date | |
| ELKHORN ETF TR | 287711824 | FDMNTL COMMDTY | 43 | $1,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLARUS CORP NEW | 18270P109 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 58 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 244 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| A10 NETWORKS INC | 002121101 | COM | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERA BRADLEY INC | 92335C106 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALUE LINE INC | 920437100 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DHI GROUP INC | 23331S100 | COM | 202 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 6,090 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GAIA INC NEW | 36269P104 | CL A | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REIS INC | 75936P105 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 380 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STERLING BANCORP INC | 85917W102 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUNA INNOVATIONS INC | 550351100 | COM | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 66 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G848 | VIRTUS WMC INTNL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IF BANCORP INC | 44951J105 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RIGNET INC | 766582100 | COM | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 294 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 1,215 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LAKE SHORE BANCORP INC | 510700107 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 93 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLONDER TONGUE LABS INC | 093698108 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739H420 | IPATH AS GLF CUR | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06739F101 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 6,100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRUETT-HURST INC THST | 897871109 | COMMON | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBALSCAPE INC | 37940G109 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATIONAL SEC GROUP INC | 637546102 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Kelso Technologies Inc | 48826D201 | COM | 664 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNLOGIC INC | 87166L100 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 189 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 530 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURYN RES INC | 05208W108 | COM | 117 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FC GLOBAL RLTY INC | 30258F102 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A861 | COM PAR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REMARK HLDGS INC | 75955K102 | COM | 74 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PFENEX INC | 717071104 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KBL MERGER CORP IV | 48242A112 | W EXP 01/15/202 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WTS/HUNTER MARITIME ACQUISITIEXP12/31/2021 | Y37828129 | WARR | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATYR PHARMA INC | 002120103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y651 | NORTH SQUA MCKE | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRESIDIO INC | 74102M103 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 321 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 174 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740D830 | RTRN DISABILIT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 245 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 6,048 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PAVMED INC | 70387R114 | *W EXP 01/29/202 | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMSTOCK MNG INC | 205750201 | COM NEW | 111 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DITECH HLDG CORP | 25501G105 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MCCLATCHY CO | 579489303 | CL A NEW | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIG ROCK PARTNERS ACQUISITIO | 089482129 | RIGHT 12/01/2022 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GORDON POINTE ACQUISITION CO | 382788115 | *W EXP 07/30/202 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOLPHIN ENTMT INC | 25686H118 | *W EXP 12/26/202 | 789 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y854 | Cmn | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WRLSW US 08 Aug 22 C11.5 | 70957E113 | W EXP 07/27/202 | 185 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENSARE ACQUISITION CORP | 70957E121 | RIGHT 99/99/9999 | 412 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UBS AG LONDON BRANCH | 90274E828 | VELCTY 1X ETN 47 | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 17,582 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F120 | *W EXP 08/20/201 | 570 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODERN MEDIA ACQUISITION | 60765P202 | UNIT 99/99/9999 | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONOMA PHARMACEUTICALS INC | 83558L113 | *W EXP 01/21/202 | 128 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEARSIGN COMBUSTION CORP | 185064110 | *W EXP 01/25/201 | 1,519 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTIMMUNE INC | 02155H101 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OSPREY ENERGY ACQUISITION CO | 688397116 | *W EXP 07/21/202 | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IShares Edge MSCI Min Vol | 464289115 | STK IDX | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 95 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GULFMARK OFFSHORE INC | 402629117 | *W EXP 11/14/202 | 352 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 2,935 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRAPER OAKWOOD TECHNOLOGY | 26146L111 | *W EXP 09/19/202 | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 680 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOBIOLOG-CW17A | 68235M113 | EQUITY WRT | 5,529 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STELLAR ACQUISITION III INC | Y8172W115 | *W EXP 03/22/2022 | 551 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVISTA HEALTHCARE PUB ACQ CO | G0726L109 | UNIT 99/99/9999 | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G565 | MLTFCT HLTCARE | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREDIT SUISSE AG NASSAU BRH | 22539T258 | AXELATRDR 3X LNG | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XG TECHNOLOGY INC | 98372A127 | *W EXP 07/19/201 | 126 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TR II | 73937B373 | TREASURY CLTRL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPEXA THERAPEUTICS INC-CW18 | 00444P116 | W E | 38,651 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLIFY ETF TR | 032108508 | YIELDSHARES OIL | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERIDIAN WASTE SOLUTIONS INC | 58985L118 | *W EXP 02/10/202 | 2,038 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740P312 | IPTH ENRGY ETN | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |