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 |
|---|---|---|---|---|---|---|
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 5,378 | $13,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 2,061 | $13,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 5,761 | $13,000 | thousands by filing date | |
| PHAXIAM THERAPEUTICS S A | 29604W108 | SPONSORED ADR | 1,176 | $13,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 3,238 | $13,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,050 | $13,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 3,547 | $13,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 5,280 | $13,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 10,879 | $13,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 4,920 | $13,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,067 | $13,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,300 | $13,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T109 | ORD SHS | 2,036 | $13,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 625 | $13,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 9,615 | $13,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 1,300 | $13,000 | thousands by filing date | |
| ALTA MESA RES INC 3 | 02133L117 | COM | 9,558 | $13,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754403 | COM PAR | 50,996 | $13,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 2,942 | $13,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 4,971 | $13,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 9,000 | $13,000 | thousands by filing date | principal |
| M I ACQUISITIONS INC | 55304A104 | COM | 1,226 | $13,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 200 | $12,000 | thousands by filing date | put |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 600 | $12,000 | thousands by filing date | call |
| PAMT CORP | 693149106 | COMMON STOCK | 261 | $12,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 1,266 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B557 | SP500 EX TECH | 236 | $12,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 439 | $12,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 400 | $12,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 3,638 | $12,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 2,261 | $12,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,734 | $12,000 | thousands by filing date | |
| JERASH HLDGS US INC | 47632P101 | CMN | 1,579 | $12,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P645 | FRANKLIN FTSE | 500 | $12,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 1,700 | $12,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 1,010 | $12,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 1,307 | $12,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 6,428 | $12,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 1,231 | $12,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 1,366 | $12,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 2,975 | $12,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 3,176 | $12,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 5,761 | $12,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 6,039 | $12,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 2,184 | $12,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 9,534 | $12,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,376 | $12,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 1,003 | $12,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,101 | $12,000 | thousands by filing date | |
| NANOVIBRONIX INC | 63008J108 | COM | 2,531 | $12,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 2,254 | $12,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,176 | $12,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 1,314 | $12,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 3,977 | $12,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 6,363 | $12,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 4,806 | $12,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q403 | COM PAR | 10,842 | $12,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 3,249 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 487 | $12,000 | thousands by filing date | |
| CDTI ADVANCED MATLS INC | 12514V105 | COM | 21,692 | $12,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A307 | COM PAR | 2,350 | $12,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 6,110 | $12,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 27,475 | $12,000 | thousands by filing date | |
| SSLJ COM LIMITED | G8406F102 | SHS CL A | 3,118 | $12,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 30,079 | $12,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V101 | COM | 1,160 | $12,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 4,226 | $11,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 5,695 | $11,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 400 | $11,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 377 | $11,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 4,660 | $11,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 496 | $11,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 2,065 | $11,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 2,099 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 345 | $11,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,537 | $11,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P637 | FTSE JAPAN HDG | 447 | $11,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,305 | $11,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 3,312 | $11,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 731 | $11,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,459 | $11,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 4,013 | $11,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 26,691 | $11,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 2,086 | $11,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 4,021 | $11,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 10,054 | $11,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 1,051 | $11,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 3,126 | $11,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 6,846 | $11,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 8,916 | $11,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 5,308 | $11,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 10,805 | $11,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 3,500 | $11,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 4,502 | $11,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 1,571 | $11,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 1,250 | $11,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T217 | VLCTYSHS 3X S&P | 171 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 558 | $11,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 2,424 | $11,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 842 | $11,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 247 | $11,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 1,520 | $11,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 4,800 | $11,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 2,537 | $11,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 369 | $11,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 1,869 | $11,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 2,766 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E653 | DLY EUR STX 3X | 526 | $11,000 | thousands by filing date | |
| PLATINUM EAGLE ACQUISITIN CO | G7126L100 | SHS CL A | 1,100 | $11,000 | thousands by filing date | |
| INVESCO CURNCYSHS CHINESE RE | 46138X105 | CHINESE RENMIN | 143 | $11,000 | thousands by filing date | |
| Enterprise Federal Bancorp | 26952G107 | Common | 694 | $11,000 | thousands by filing date | |
| TROVAGENE INC COM PAR | 897238408 | Stock | 14,436 | $11,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 2,402 | $11,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 5,000 | $11,000 | thousands by filing date | principal |
| JENSYN ACQUISITION CORP | 47632B201 | UNIT 99/99/9999 | 1,108 | $11,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y115 | *W EXP 12/24/201 | 1,088 | $11,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 400 | $11,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847208 | SHS | 4,330 | $11,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 100 | $10,000 | thousands by filing date | put |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 175 | $10,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 500 | $10,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 650 | $10,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 1,590 | $10,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 200 | $10,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 1,957 | $10,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 2,765 | $10,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 5,667 | $10,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 445 | $10,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 2,138 | $10,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 6,464 | $10,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 1,617 | $10,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 8,792 | $10,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 234 | $10,000 | thousands by filing date | |
| ALLIQUA BIOMEDICAL INC | 019621309 | COMMON STOCK | 4,798 | $10,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 15,000 | $10,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 4,060 | $10,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 439 | $10,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,375 | $10,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 15,004 | $10,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 1,188 | $10,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 1,006 | $10,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 8,127 | $10,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 23,394 | $10,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 1,793 | $10,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 2,480 | $10,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 2,787 | $10,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 1,091 | $10,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 2,615 | $10,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 2,488 | $10,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 21,863 | $10,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 2,880 | $10,000 | thousands by filing date | |
| BIOFRONTERA AG ADR | 09075G105 | COM | 856 | $10,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 2,971 | $10,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 10,120 | $10,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 1,931 | $10,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 7,129 | $10,000 | thousands by filing date | |
| MABVAX THERAPEUTICS | 55414P702 | Equities | 11,889 | $10,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 400 | $10,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,358 | $10,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 3,515 | $10,000 | thousands by filing date | |
| BK TECHNOLOGIES INC | 09180A100 | COM | 2,575 | $10,000 | thousands by filing date | |
| CHINA INTERNET NATIONWIDE FI | G2120A101 | SHS | 616 | $10,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 2,443 | $10,000 | thousands by filing date | |
| ALLIANCE MMA INC | 018626101 | COM | 30,000 | $10,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 10,696 | $10,000 | thousands by filing date | |
| SABAN CAP ACQUISITION CORP | 78516C106 | COM CL A | 960 | $10,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 3,599 | $10,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 10,000 | $10,000 | thousands by filing date | principal |
| FLEXSHARES TR | 33939L720 | CUR HDG DM IDX | 365 | $10,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 29,157 | $10,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 824 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B730 | ULSHRT TECH NEW | 795 | $10,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 6,143 | $10,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 24,528 | $10,000 | thousands by filing date | |
| AURIS MED HLDG AG | H0381L104 | COM | 12,259 | $10,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C690 | RUSL 1000 SIZE | 400 | $10,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 8,000 | $10,000 | thousands by filing date | principal |
| GCAP 4.1250 18 | 36268WAB6 | Bond 30/360P2 U | 10,000 | $10,000 | thousands by filing date | principal |
| LOVESAC COMPANY | 54738L109 | COM | 427 | $9,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 175 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 263 | $9,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 5,271 | $9,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527109 | SHS | 1,439 | $9,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 651 | $9,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 6,335 | $9,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 1,671 | $9,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 1,010 | $9,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 795 | $9,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 23,657 | $9,000 | thousands by filing date | |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 216 | $9,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,346 | $9,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 1,467 | $9,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 2,208 | $9,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 1,680 | $9,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 6,000 | $9,000 | thousands by filing date | principal |
| CURIS INC | 231269200 | COM | 5,283 | $9,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 5,200 | $9,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 2,182 | $9,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 445 | $9,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| MITCHAM INDS INC COM | 606501104 | COM | 2,117 | $9,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $9,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 21,206 | $9,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 4,938 | $9,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 3,380 | $9,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 520 | $9,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 3,098 | $9,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 6,554 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 305 | $9,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 3,003 | $9,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 274 | $9,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 874 | $9,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 1,475 | $9,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 1,240 | $9,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 6,040 | $9,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F104 | COM | 8,857 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 3,975 | $9,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 335 | $9,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 466 | $9,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 3,607 | $9,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P404 | mc | 169 | $9,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 1,646 | $9,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 5,023 | $9,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 8,000 | $9,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 5,000 | $9,000 | thousands by filing date | principal |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 5,251 | $9,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 2,929 | $9,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N114 | *W EXP 05/30/202 | 10,602 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 696 | $9,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 2,282 | $9,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 500 | $9,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K743 | VELOCITYSHS LONG | 234 | $9,000 | thousands by filing date | |
| VIVALDI OPPORTUNITIES FD | 92853C207 | Equity | 603 | $9,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 5,227 | $9,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 5,391 | $9,000 | thousands by filing date | |
| RENMIN TIANLI GROUP INC | G7500A100 | SHS | 3,378 | $9,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 23,364 | $9,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W107 | CL A | 900 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 316 | $9,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 889 | $8,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 164 | $8,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 1,819 | $8,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1,095 | $8,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 200 | $8,000 | thousands by filing date | put |
| TECNOGLASS INC | G87264100 | ORD SHS | 956 | $8,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 3,389 | $8,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 292 | $8,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 254 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 286 | $8,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,300 | $8,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 628 | $8,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,953 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 549 | $8,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 10,499 | $8,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 19,189 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 106 | $8,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 100 | $8,000 | thousands by filing date | call |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 6,364 | $8,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 3,236 | $8,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 1,030 | $8,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 2,350 | $8,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,701 | $8,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 388 | $8,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 7,356 | $8,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 305 | $8,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 259 | $8,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 13,363 | $8,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,303 | $8,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 2,906 | $8,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 1,903 | $8,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 5,113 | $8,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 2,071 | $8,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 480 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 280 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 200 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 407 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,315 | $8,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 40,370 | $8,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 3,065 | $8,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $8,000 | thousands by filing date | principal |
| IMV INC | 44974L103 | COM | 1,600 | $8,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 4,210 | $8,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 5,453 | $8,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 4,392 | $8,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 39,076 | $8,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 9,048 | $8,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 5,638 | $8,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 2,646 | $8,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 2,972 | $8,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 32,270 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 286 | $8,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 1,265 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A495 | VOLSHARES LARG | 300 | $8,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 883 | $8,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 8,000 | $8,000 | thousands by filing date | principal |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 4,418 | $8,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827102 | UNIT 99/99/9999 | 770 | $8,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 800 | $8,000 | thousands by filing date | |
| USAA ETF TR | 90291F501 | CORE SHRT BD | 169 | $8,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC | G3206V100 | SHS | 922 | $8,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 6,565 | $8,000 | thousands by filing date | |
| MYND ANALYTICS INC | 62857N202 | COM NEW | 4,356 | $8,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 7,495 | $8,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 3,761 | $8,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 14,316 | $8,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H101 | COM | 17,789 | $8,000 | thousands by filing date | |
| TINTRI INC | 88770Q105 | COM | 32,623 | $8,000 | thousands by filing date | |
| INPIXON | 45790J305 | COM NEW | 48,565 | $8,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 10,086 | $8,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 800 | $7,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 100 | $7,000 | thousands by filing date | put |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 300 | $7,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 605 | $7,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 1,140 | $7,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 300 | $7,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 1,357 | $7,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 2,710 | $7,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 578 | $7,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 284 | $7,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 4,254 | $7,000 | thousands by filing date | |
| FIRST TR FD VI ETF FIRST TRUST SMID GROWTH STRENGTH | 33738R746 | ETF | 302 | $7,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 2,146 | $7,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 5,577 | $7,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 1,144 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 357 | $7,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,274 | $7,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 3,030 | $7,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 1,711 | $7,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 500 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 405 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 168 | $7,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 3,122 | $7,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 229 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 300 | $7,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 586 | $7,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 500 | $7,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 1,541 | $7,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 5,000 | $7,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740P114 | FUND | 241 | $7,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 628 | $7,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 434 | $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 |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 19,026 | $7,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 3,728 | $7,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 19,371 | $7,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 8,056 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 257 | $7,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 38,069 | $7,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 1,101 | $7,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 5,069 | $7,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 415 | $7,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 174,938 | $7,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 8,476 | $7,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 5,114 | $7,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 3,126 | $7,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 705 | $7,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 5,869 | $7,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 1,723 | $7,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 10,172 | $7,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 5,984 | $7,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 1,957 | $7,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 1,894 | $7,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| NXT-ID INC | 67091J206 | COM NEW | 4,281 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V415 | S&P100 EQL WGT | 200 | $7,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 823 | $7,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 964 | $7,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 328 | $7,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 2,590 | $7,000 | thousands by filing date | |
| DROPCAR INC | 26210U104 | COM | 5,711 | $7,000 | thousands by filing date | |
| CODE CHAIN NEW CONTINENT LTD COM | 87266C109 | Stock | 1,800 | $7,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 6,458 | $7,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 1,282 | $7,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 20,658 | $7,000 | thousands by filing date | |
| LEVEL BRANDS INC | 52730Q209 | COM NEW | 1,950 | $7,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W115 | *W EXP 06/01/202 | 8,397 | $7,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,882 | $7,000 | thousands by filing date | |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 4,015 | $7,000 | thousands by filing date | |
| AMEDICA CORP | 023435407 | COM PAR | 7,659 | $7,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 9,646 | $7,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC | Y2069P507 | SHS PAR | 4,467 | $7,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 5,457 | $7,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 6,000 | $7,000 | thousands by filing date | principal |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 7,000 | $7,000 | thousands by filing date | principal |
| OPPENHEIMER ETF TR | 68386C658 | RUSL 1000 VALU | 250 | $7,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 209 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 100 | $6,000 | thousands by filing date | put |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 260 | $6,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,100 | $6,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 260 | $6,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 815 | $6,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,899 | $6,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 592 | $6,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 490 | $6,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 280 | $6,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,735 | $6,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 205 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 266 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P603 | CMN | 260 | $6,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 5,000 | $6,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 680 | $6,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 5,635 | $6,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 300 | $6,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 273 | $6,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 312 | $6,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 336 | $6,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 4,015 | $6,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 2,420 | $6,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 3,000 | $6,000 | thousands by filing date | principal |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 1,000 | $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 |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 781 | $6,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 2,572 | $6,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,305 | $6,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 1,148 | $6,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 505 | $6,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 3,146 | $6,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 2,000 | $6,000 | thousands by filing date | principal |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 717 | $6,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 396 | $6,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 7,868 | $6,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 1,200 | $6,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 20,160 | $6,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 2,690 | $6,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 469 | $6,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 767 | $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 | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 185 | $6,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 89 | $6,000 | thousands by filing date | |
| SHARING ECONOMY INTL INC | 819534108 | COM | 1,657 | $6,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 7,208 | $6,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 3,273 | $6,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 5,592 | $6,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265308 | SHS NEW | 11,954 | $6,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 1,751 | $6,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 1,583 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051564 | XTRCK EURZON EQT | 249 | $6,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 11,658 | $6,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 660 | $6,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 2,364 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 196 | $6,000 | thousands by filing date | |
| USAA ETF TR | 90291F303 | MSCI INTL VLU | 114 | $6,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 21,784 | $6,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N128 | UNIT 08/21/2022 | 550 | $6,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 3,108 | $6,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 497 | $6,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,000 | $6,000 | thousands by filing date | principal |
| SPHERE 3D CORP NEW | 84841L209 | COM NEW | 13,725 | $6,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 183 | $5,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 345 | $5,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 434 | $5,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 844 | $5,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 2,455 | $5,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 2,643 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 256 | $5,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 367 | $5,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,171 | $5,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 188 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 192 | $5,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 100 | $5,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 225 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 235 | $5,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 946 | $5,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 143 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 170 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 349 | $5,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 2,611 | $5,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 803 | $5,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 2,597 | $5,000 | thousands by filing date | |
| Yogaworks, Inc. | 986005106 | com | 2,498 | $5,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 2,137 | $5,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 300 | $5,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,311 | $5,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 1,471 | $5,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 2,191 | $5,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 2,050 | $5,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 104 | $5,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 197 | $5,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 4,056 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 75 | $5,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 1,638 | $5,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 6,058 | $5,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 1,415 | $5,000 | thousands by filing date | |
| INSPIREMD INC | 45779A861 | COM PAR | 20,295 | $5,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 5,267 | $5,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 2,218 | $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 | 219 | $5,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 2,481 | $5,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 2,810 | $5,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 3,744 | $5,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 563 | $5,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 2,741 | $5,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 583 | $5,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 244 | $5,000 | 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 |