13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-08-14, with 8,042 holding rows worth $230,936,215,000.
- Accession
- 0000950123-18-008576
- Filer
- CIK 1610520
- Filed
- 2018-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A combination report, 13,708 entries on the cover page, a total value of $230,936,215,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $230,936,291,000 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 |
|---|---|---|---|---|---|---|
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 2,052 | $48,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 3,395 | $48,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 3,320 | $48,000 | thousands by filing date | |
| NEW FRONTIER CORP | G6485P116 | UNIT 99/99/9999 | 4,800 | $48,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 300 | $47,000 | thousands by filing date | put |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 800 | $47,000 | thousands by filing date | put |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 3,011 | $47,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 8,784 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 1,767 | $47,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 1,176 | $47,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 1,512 | $47,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,577 | $47,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 2,564 | $47,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 8,452 | $47,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 1,478 | $47,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 951 | $47,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 2,039 | $47,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 6,362 | $47,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,902 | $47,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 9,030 | $47,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 84,454 | $47,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 26,740 | $47,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 2,051 | $47,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 4,663 | $47,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 3,697 | $47,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 634 | $47,000 | thousands by filing date | |
| ADVISORSHARES NEW TECH AND MEDIA ETF | 00768Y552 | ETF | 2,197 | $47,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 1,981 | $47,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 3,645 | $47,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,459 | $47,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 1,825 | $47,000 | thousands by filing date | |
| SREV 1.5 8/18 | 81763UAB6 | Bond 30/360P2 U | 48,000 | $47,000 | thousands by filing date | principal |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 3,235 | $46,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 3,261 | $46,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 1,139 | $46,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,836 | $46,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 7,201 | $46,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 5,422 | $46,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 1,508 | $46,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 3,400 | $46,000 | thousands by filing date | call |
| BARNES & NOBLE ED INC | 06777U101 | COM | 8,162 | $46,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 11,840 | $46,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 404 | $46,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 2,620 | $46,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,855 | $46,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 3,741 | $46,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 5,043 | $46,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 1,178 | $46,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 1,429 | $46,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 3,315 | $46,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 1,490 | $46,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 8,307 | $46,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746Q256 | ENHANCED EURP C | 490 | $46,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X420 | GLBL HGD SMLCP | 1,754 | $46,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 669 | $45,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 2,958 | $45,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 2,452 | $45,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,301 | $45,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 4,293 | $45,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 7,511 | $45,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 1,697 | $45,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 64,000 | $45,000 | thousands by filing date | principal |
| NOODLES & CO | 65540B105 | COM CL A | 3,601 | $45,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 1,283 | $45,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 21,283 | $45,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 3,432 | $45,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 1,807 | $45,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 4,986 | $45,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,715 | $45,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 1,822 | $45,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 13,518 | $45,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 1,126 | $45,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G102 | LADRD FD US EQT | 1,502 | $45,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 1,616 | $45,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E647 | MKT HLDGS I VELCTYSHS USDAUD | 2,000 | $45,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 43,606 | $45,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G871 | VIRTUS CUMBRLAND | 1,841 | $45,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,688 | $44,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,938 | $44,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,603 | $44,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,008 | $44,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 21,075 | $44,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 4,652 | $44,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 6,061 | $44,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 2,088 | $44,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 9,131 | $44,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 37,329 | $44,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,535 | $44,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E560 | LADERITE 0-5YR | 1,806 | $44,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 3,430 | $44,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 1,696 | $44,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 1,915 | $44,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E802 | DLY RGNAL BKS 3X | 1,807 | $44,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 646 | $44,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 500 | $43,000 | thousands by filing date | call |
| FIRST HAWAIIAN INC | 32051X108 | COM | 1,475 | $43,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 6,763 | $43,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 900 | $43,000 | thousands by filing date | call |
| ALLIENT INC | 019330109 | COM | 912 | $43,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 14,529 | $43,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,399 | $43,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 1,248 | $43,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 941 | $43,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 1,813 | $43,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 2,704 | $43,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 18,000 | $43,000 | thousands by filing date | principal |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 4,953 | $43,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 1,172 | $43,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 17,209 | $43,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 14,550 | $43,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 2,905 | $43,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 681 | $43,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 2,507 | $43,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 3,320 | $43,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 2,677 | $43,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 2,627 | $43,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E752 | DLY MSCI MX 3X | 2,500 | $43,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 2,239 | $43,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 601 | $43,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 1,718 | $42,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 2,229 | $42,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 2,006 | $42,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 2,025 | $42,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,087 | $42,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 1,477 | $42,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 5,657 | $42,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 1,725 | $42,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 729 | $42,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 1,068 | $42,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 532 | $42,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 3,078 | $42,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 5,149 | $42,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 4,496 | $42,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 1,741 | $42,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 7,982 | $42,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 2,806 | $42,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H716 | QUTX RSK MGDML | 1,589 | $42,000 | thousands by filing date | |
| ESSENTIAL PPTYS RLTY TR INC COM | 29670E107 | REIT | 3,040 | $41,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 500 | $41,000 | thousands by filing date | put |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 4,945 | $41,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 1,552 | $41,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 8,258 | $41,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 1,610 | $41,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 2,000 | $41,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 9,956 | $41,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 6,273 | $41,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 4,771 | $41,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 3,307 | $41,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 2,509 | $41,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,563 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E521 | FUND | 685 | $41,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 2,897 | $41,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 4,539 | $41,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 2,416 | $41,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 2,751 | $41,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 2,174 | $41,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 1,914 | $41,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 5,080 | $41,000 | thousands by filing date | |
| PGIM ETF TR | 69344A107 | PGIM ULTRA SH BD | 800 | $40,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 500 | $40,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 2,019 | $40,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 867 | $40,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 7,342 | $40,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,661 | $40,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 1,446 | $40,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 300 | $40,000 | thousands by filing date | put |
| MEDICINOVA INC | 58468P206 | COM NEW | 4,976 | $40,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,696 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 1,022 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 1,725 | $40,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E679 | DAILY TRANSN ETF | 1,349 | $40,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 19,817 | $40,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,144 | $40,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 10,146 | $40,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 25,812 | $40,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 6,538 | $40,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 705 | $40,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,046 | $40,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 2,516 | $40,000 | thousands by filing date | |
| CONVERGEONE HLDGS INC | 212481105 | COM CL A | 4,221 | $40,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 2,833 | $40,000 | thousands by filing date | |
| CAMBRIA ETF TR CORE EQUITY | 132061854 | CEF | 1,626 | $40,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H732 | QUTX RSK MNDGW | 1,422 | $40,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 3,663 | $39,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 4,680 | $39,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 5,328 | $39,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 1,037 | $39,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 1,630 | $39,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 1,582 | $39,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 5,162 | $39,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 5,778 | $39,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 7,543 | $39,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 8,008 | $39,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 17,504 | $39,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 8,210 | $39,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 15,415 | $39,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 163,211 | $39,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 12,279 | $39,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 3,190 | $39,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 1,209 | $39,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,485 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 1,212 | $39,000 | thousands by filing date | |
| SPDR SER TR | 78468R119 | S&P TECH H | 515 | $39,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L208 | EMRG MKT DIV ETF | 1,315 | $39,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 1,523 | $39,000 | thousands by filing date | |
| ETFS TR | 26923J883 | BBG STRGY K 1 | 1,336 | $39,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 1,057 | $38,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 500 | $38,000 | thousands by filing date | put |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 1,250 | $38,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 3,200 | $38,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 12,198 | $38,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 1,027 | $38,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,661 | $38,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,479 | $38,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 477 | $38,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 1,210 | $38,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 2,924 | $38,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 1,660 | $38,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 7,231 | $38,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 1,401 | $38,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 1,751 | $38,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 1,703 | $38,000 | thousands by filing date | |
| ARROW INVTS TR | 042765685 | DWA TACT INTL | 1,350 | $38,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,928 | $38,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 14,159 | $38,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 2,910 | $38,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 952 | $38,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 2,330 | $37,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 400 | $37,000 | thousands by filing date | put |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 1,424 | $37,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 2,319 | $37,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 2,211 | $37,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 1,500 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 542 | $37,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 3,058 | $37,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 4,286 | $37,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 20,379 | $37,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P449 | FUND | 825 | $37,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 20,452 | $37,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 7,756 | $37,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 3,994 | $37,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 14,762 | $37,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 3,933 | $37,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 18,291 | $37,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 35,287 | $37,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X210 | MSCI CHINA ETF | 1,817 | $37,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 857 | $36,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 6,051 | $36,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 1,960 | $36,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 500 | $36,000 | thousands by filing date | put |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 1,494 | $36,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 2,541 | $36,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 929 | $36,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 2,641 | $36,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,583 | $36,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 796 | $36,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 572 | $36,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 479 | $36,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,198 | $36,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 408 | $36,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 6,586 | $36,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 9,028 | $36,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 3,059 | $36,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 7,000 | $36,000 | thousands by filing date | principal |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 1,331 | $36,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 4,770 | $36,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 5,658 | $36,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 3,500 | $36,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 8,379 | $36,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 9,780 | $36,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 1,141 | $35,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 1,891 | $35,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 1,083 | $35,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 2,458 | $35,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 3,106 | $35,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 391 | $35,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 8,351 | $35,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 1,060 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,559 | $35,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 1,070 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 935 | $35,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 1,791 | $35,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 2,591 | $35,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 4,273 | $35,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 1,717 | $35,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 941 | $35,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 618 | $35,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 3,529 | $35,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 3,717 | $35,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 3,123 | $35,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,304 | $35,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 363 | $34,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 870 | $34,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,207 | $34,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 8,126 | $34,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 961 | $34,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 1,466 | $34,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 2,000 | $34,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,345 | $34,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 644 | $34,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 2,676 | $34,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,894 | $34,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 33,000 | $34,000 | thousands by filing date | principal |
| UNION ACQUISITION CORP | G9366W119 | UNIT 99/99/9999 | 3,315 | $34,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 1,334 | $34,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 261 | $34,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 1,000 | $33,000 | thousands by filing date | put |
| TFS FINL CORP | 87240R107 | COM | 2,069 | $33,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 1,460 | $33,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 880 | $33,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 491 | $33,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 6,243 | $33,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 3,999 | $33,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 1,300 | $33,000 | thousands by filing date | call |
| CENTURY CASINOS INC | 156492100 | COM | 3,798 | $33,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 1,377 | $33,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 847 | $33,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 1,838 | $33,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 2,936 | $33,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 998 | $33,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 6,843 | $33,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 6,334 | $33,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 697 | $33,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 6,491 | $33,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 737 | $33,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 65,905 | $33,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 4,049 | $33,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 2,129 | $33,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 3,507 | $33,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 2,915 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K117 | DAILY NAT GAS RE | 1,895 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K349 | DLY NATRL GAS 3X | 1,369 | $33,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 1,240 | $33,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H724 | QUTX RSK MGDML | 1,293 | $33,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 520 | $32,000 | thousands by filing date | call |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 2,803 | $32,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 970 | $32,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 4,333 | $32,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,795 | $32,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 3,532 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 665 | $32,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,168 | $32,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,931 | $32,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 28,093 | $32,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 1,586 | $32,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 1,305 | $32,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 1,350 | $32,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W107 | COM | 3,058 | $32,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 200 | $31,000 | thousands by filing date | put |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 3,176 | $31,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,511 | $31,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 3,628 | $31,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,134 | $31,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,664 | $31,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 62,596 | $31,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 2,498 | $31,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,141 | $31,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 3,950 | $31,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 737 | $31,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 1,476 | $31,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 5,084 | $31,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 1,016 | $31,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 1,371 | $31,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 1,429 | $31,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 1,051 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 729 | $31,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L105 | COM | 3,055 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 1,858 | $31,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A206 | UNIT 02/28/2021 | 3,058 | $31,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 2,136 | $31,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y203 | WILSHIRE REIT | 671 | $31,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 300 | $30,000 | thousands by filing date | put |
| ISHARES TR | 46435G102 | CONV BD ETF | 517 | $30,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 6,740 | $30,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 1,325 | $30,000 | thousands by filing date | call |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 1,466 | $30,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 878 | $30,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 1,199 | $30,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,571 | $30,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 472 | $30,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 2,187 | $30,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 1,005 | $30,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 2,590 | $30,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 820 | $30,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 1,448 | $30,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 4,269 | $30,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,746 | $30,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,277 | $30,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 592 | $30,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 2,310 | $30,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 988 | $30,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 4,689 | $30,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,466 | $30,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 1,000 | $30,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 5,501 | $30,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 1,575 | $30,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 1,200 | $30,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 10,731 | $30,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 3,000 | $30,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | G62848109 | SHS CL A | 3,100 | $30,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 1,374 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 1,154 | $30,000 | thousands by filing date | |
| STRONGVEST ETF TR | 863418109 | CWA INCOME | 1,200 | $30,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 2,000 | $29,000 | thousands by filing date | put |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 1,224 | $29,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 4,125 | $29,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 1,143 | $29,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,209 | $29,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 994 | $29,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 3,627 | $29,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 1,005 | $29,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 1,896 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 600 | $29,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 4,696 | $29,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 3,068 | $29,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 12,809 | $29,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 6,462 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 935 | $29,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 3,196 | $29,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,526 | $29,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 2,586 | $29,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 12,616 | $29,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 1,127 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X388 | EUR DOMST ECO FD | 1,036 | $29,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 4,516 | $29,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 1,080 | $29,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 1,336 | $29,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 1,846 | $29,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 2,938 | $29,000 | thousands by filing date | |
| TPG PACE ENERGY HLDGS CORP | 872656103 | CL A | 2,711 | $29,000 | thousands by filing date | |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 1,054 | $28,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 2,246 | $28,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 10,365 | $28,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 1,221 | $28,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 200 | $28,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 1,080 | $28,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 866 | $28,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,993 | $28,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,200 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 1,408 | $28,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 1,112 | $28,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 2,337 | $28,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 1,838 | $28,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,461 | $28,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 13,740 | $28,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 710 | $28,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 2,037 | $28,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 1,011 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 886 | $28,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,585 | $28,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 1,509 | $28,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,604 | $28,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,052 | $28,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 960 | $28,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 752 | $28,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,260 | $28,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,984 | $28,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 1,000 | $28,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 801 | $28,000 | thousands by filing date | |
| ISHARES TR | 46435G540 | MLTFACT TECH | 676 | $28,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 8,281 | $28,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828111 | CL A | 2,850 | $28,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D259 | NT AMZI 46 | 867 | $28,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 1,848 | $28,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 12,000 | $28,000 | thousands by filing date | principal |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 4,086 | $27,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 524 | $27,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 1,756 | $27,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 2,058 | $27,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,269 | $27,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,610 | $27,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 7,712 | $27,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 3,290 | $27,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,609 | $27,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 2,591 | $27,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 1,006 | $27,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 2,054 | $27,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 803 | $27,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 20,489 | $27,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 221 | $27,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,370 | $27,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 778 | $27,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 1,000 | $27,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,108 | $27,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 16,075 | $27,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 1,085 | $27,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES LTD | 57778L103 | COM | 532 | $27,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 5,863 | $27,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 3,015 | $27,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 5,310 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E562 | DAILY TECHNOLOGY | 1,134 | $27,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 4,197 | $27,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 2,662 | $27,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 916 | $27,000 | thousands by filing date | |
| ONE MADISON CORP | G6772P118 | UNIT 99/99/9999 | 2,674 | $27,000 | thousands by filing date | |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 1,091 | $27,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 255 | $27,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 1,056 | $27,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 9,900 | $26,000 | thousands by filing date | put |
| BEL FUSE INC | 077347300 | CL B | 1,235 | $26,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-18-008576 | this filing | 2018-08-14 | acceptance time not in the bulk data set |