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 |
|---|---|---|---|---|---|---|
| TRANSAMERICA ETF TR | 89349P206 | mc | 93 | $5,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 91 | $5,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 241 | $5,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760102 | COM CL A | 500 | $5,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 866 | $5,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 5,000 | $5,000 | thousands by filing date | principal |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 4,295 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 183 | $5,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 103 | $5,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 1,736 | $5,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E233 | VELCTYSHS USDCHF | 200 | $5,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 207 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90270L354 | SER B LKD 46 | 118 | $5,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 2,966 | $5,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 500 | $5,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612109 | SHS | 1,578 | $5,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $5,000 | thousands by filing date | principal |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 224 | $5,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 4,000 | $5,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B193 | ULTRAPRO SHORT N | 260 | $5,000 | thousands by filing date | |
| ATTIS INDS INC | 049836109 | COM | 12,888 | $5,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 158 | $5,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 3,000 | $5,000 | thousands by filing date | principal |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y640 | ICONIC US | 330 | $5,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADE | 41653L107 | CORPORATE BD ETF | 95 | $5,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 228 | $4,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 145 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 169 | $4,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 100 | $4,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 3,068 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 150 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 65 | $4,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 778 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 38 | $4,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 856 | $4,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 674 | $4,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 150 | $4,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,020 | $4,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 330 | $4,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R306 | HIPS US HIGH INC | 207 | $4,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 915 | $4,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 1,325 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 133 | $4,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 1,672 | $4,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 200 | $4,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 20,565 | $4,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 932 | $4,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 100 | $4,000 | thousands by filing date | put |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 100 | $4,000 | thousands by filing date | put |
| VOLITIONRX LTD | 928661107 | COM | 2,000 | $4,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 402 | $4,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 4,000 | $4,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06746P522 | FUND | 76 | $4,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 106 | $4,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 1,042 | $4,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 175 | $4,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 1,056 | $4,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 10,599 | $4,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 207 | $4,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 326 | $4,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 6,145 | $4,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 2,508 | $4,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 3,000 | $4,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,163 | $4,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 1,670 | $4,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 121 | $4,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 216 | $4,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 2,000 | $4,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 186 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 69 | $4,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 241 | $4,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 2,999 | $4,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 1,565 | $4,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 4,001 | $4,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 1,869 | $4,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 1,701 | $4,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 203 | $4,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 12,085 | $4,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 41,678 | $4,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 2,500 | $4,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 1,587 | $4,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 556 | $4,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 737 | $4,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 2,550 | $4,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 1,369 | $4,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 9,172 | $4,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 680 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 310 | $4,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 1,426 | $4,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 1,172 | $4,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 2,000 | $4,000 | thousands by filing date | principal |
| INDUSTREA ACQUISITION CORP | 45579J104 | CL A | 384 | $4,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 278 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 264 | $4,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 2,775 | $4,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 10,000 | $4,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 6,423 | $4,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F116 | *W EXP 03/23/202 | 10,500 | $4,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 3,149 | $4,000 | thousands by filing date | |
| PRECIPIO INC | 74019L107 | COM | 11,376 | $4,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156119 | SHS NEW | 2,224 | $4,000 | thousands by filing date | |
| BISON CAP ACQUISITION CORP | G1142P104 | ORD SHS | 400 | $4,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 6,324 | $4,000 | thousands by filing date | |
| XPRESSPA GROUP INC | 98420U109 | COM | 12,395 | $4,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W206 | UNIT 12/31/2021T | 370 | $4,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 8,591 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G573 | MLTFACT MATLS | 136 | $4,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC-CW22 | 277802112 | W EXP 08/10/202 | 1,365 | $4,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 100 | $3,000 | thousands by filing date | put |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,691 | $3,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 2,995 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 70 | $3,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 295 | $3,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 6,582 | $3,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N691 | VICTORYSHS US | 123 | $3,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 3,289 | $3,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 1,323 | $3,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 398 | $3,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 212 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 134 | $3,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 350 | $3,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 959 | $3,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 113 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $3,000 | thousands by filing date | principal |
| Radcom Ltd | M81865111 | COM | 158 | $3,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q746 | USD EMRNG MKT | 63 | $3,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 299 | $3,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 764 | $3,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 1,006 | $3,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 325 | $3,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 571 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 47 | $3,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W401 | INTL LEADERS ETF | 118 | $3,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 316 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 200 | $3,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,434 | $3,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 1,352 | $3,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 100 | $3,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 134 | $3,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 795 | $3,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 527 | $3,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 2,000 | $3,000 | thousands by filing date | principal |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 200 | $3,000 | thousands by filing date | call |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,046 | $3,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 1,502 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P555 | FUND | 55 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 168 | $3,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 1,663 | $3,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 1,000 | $3,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 3,356 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| Leading Brands Inc. | 52170U207 | COM | 2,594 | $3,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 789 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 99 | $3,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 2,139 | $3,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 1,565 | $3,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,589 | $3,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 703 | $3,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 1,216 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 491 | $3,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 2,164 | $3,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 6,465 | $3,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 140 | $3,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 95 | $3,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 1,746 | $3,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 4,529 | $3,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 9,878 | $3,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 8,640 | $3,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 2,250 | $3,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 2,683 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 217 | $3,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 1,811 | $3,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 1,370 | $3,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 1,414 | $3,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 299 | $3,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C808 | COM PAR | 1,356 | $3,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 2,261 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 149 | $3,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 1,374 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 405 | $3,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 646 | $3,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 11,139 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D365 | VELOCITY SHS SHO | 218 | $3,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 2,677 | $3,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | G62848125 | *W EXP 10/23/202 | 2,500 | $3,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 493 | $3,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 1,813 | $3,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 932 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 162 | $3,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 326 | $3,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 1,375 | $3,000 | thousands by filing date | |
| USAA ETF TR | 90291F402 | MSCI EMRG MKTS | 58 | $3,000 | thousands by filing date | |
| USAA ETF TR | 90291F600 | CORE INTRMDITE | 63 | $3,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 2,000 | $3,000 | thousands by filing date | principal |
| VICAL INC | 925602203 | COM NEW | 2,500 | $3,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 3,000 | $3,000 | thousands by filing date | principal |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 182 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J759 | US LRG CP OPTM | 95 | $3,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 5,094 | $3,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 3,042 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A735 | SERENITYSHS IM | 96 | $3,000 | thousands by filing date | |
| SOLENO THERAPEUTICS INC | 834203135 | *W EXP 11/12/201 | 10,318 | $3,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 2,000 | $3,000 | thousands by filing date | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 2,000 | $3,000 | thousands by filing date | principal |
| ISHARES EDGE MSCI MULTIFACTOR INDUSTRIALS ETF | 46435G557 | ETF | 100 | $3,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC | 761123405 | COM NEW | 1,610 | $3,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 6,014 | $3,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L110 | *W EXP 07/29/202 | 2,376 | $3,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 400 | $2,000 | thousands by filing date | put |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 65 | $2,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 700 | $2,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 2,978 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 100 | $2,000 | thousands by filing date | put |
| DHI GROUP INC | 23331S100 | COM | 790 | $2,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 1,706 | $2,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 929 | $2,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 3,576 | $2,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 780 | $2,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 200 | $2,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 90 | $2,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 220 | $2,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 258 | $2,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 63 | $2,000 | thousands by filing date | |
| ELTEK LTD | M40184208 | SHS | 620 | $2,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 607 | $2,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 779 | $2,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $2,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 4,010 | $2,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 117 | $2,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 250 | $2,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 2,157 | $2,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 637 | $2,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 107 | $2,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 860 | $2,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 190 | $2,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 4,743 | $2,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,777 | $2,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 1,892 | $2,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 298 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 116 | $2,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 160,033 | $2,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 2,175 | $2,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 100 | $2,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H483 | PS CMDT DS ETN | 55 | $2,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 9,200 | $2,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 957 | $2,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 1,009 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L527 | 30 YR TREAS BULL | 45 | $2,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 5,905 | $2,000 | thousands by filing date | |
| AXA EQUITABLE HLDGS INC | 054561105 | COM | 100 | $2,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 4,414 | $2,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 1,010 | $2,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 292 | $2,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 4,066 | $2,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 1,513 | $2,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 600 | $2,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 400 | $2,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,077 | $2,000 | thousands by filing date | |
| DOGNESS INTERNATIONAL CORP | G2788T103 | COM CL A | 433 | $2,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P118 | *W EXP 03/13/202 | 4,900 | $2,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 473 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A461 | AI PWD INTL EQTY | 100 | $2,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 11,051 | $2,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 150 | $2,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 1,111 | $2,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 210 | $2,000 | thousands by filing date | |
| PLATINUM EAGLE ACQUISITIN CO | G7126L126 | UNIT 01/09/2023 | 150 | $2,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 881 | $2,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 17,522 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 1,175 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 51 | $2,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y854 | Cmn | 80 | $2,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D424 | 2XLEVE ETRACS WF | 143 | $2,000 | thousands by filing date | |
| Sensus Healthcare, Inc @6.75 6 | 81728J117 | warrants | 1,645 | $2,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 1,303 | $2,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 1,264 | $2,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 200 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B870 | CDS SH NA HYCR | 54 | $2,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F108 | SHS | 200 | $2,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 1,768 | $2,000 | thousands by filing date | |
| NOVUME SOLUTIONS INC | 67012D106 | COM | 1,329 | $2,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 746 | $2,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 386 | $2,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E889 | PROSPOTS SPONR | 87 | $2,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 1,652 | $2,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 1,197 | $2,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P201 | SHS | 5,494 | $2,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505830 | REX VOLMAX SHORT | 817 | $2,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H682 | QUTX RSK MNDRE | 100 | $2,000 | thousands by filing date | |
| SPINNAKER ETF TR | 84858T103 | FIELDSTONE MERLN | 72 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G565 | MLTFCT HLTCARE | 74 | $2,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G201 | SPONSORD ADR NEW | 1,575 | $2,000 | thousands by filing date | |
| CSOP ETF TR | 12649L303 | CHINA CSI 300 | 71 | $2,000 | thousands by filing date | |
| VICI PPTYS INC COM | 925652109 | REIT | 46 | $1,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 279 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 30 | $1,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 50 | $1,000 | thousands by filing date | |
| GRAFTECH INTL LTD | 384313508 | COM | 59 | $1,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 148 | $1,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 260 | $1,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 86 | $1,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 80 | $1,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 35 | $1,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 96 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 77 | $1,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 15,353 | $1,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 20 | $1,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 158 | $1,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 60 | $1,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 96 | $1,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 36 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 16 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 7 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 12 | $1,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 145 | $1,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 889 | $1,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 259 | $1,000 | thousands by filing date | |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 93 | $1,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 911 | $1,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 30 | $1,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 17 | $1,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 3,353 | $1,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 22 | $1,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 436 | $1,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 200 | $1,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 39 | $1,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 377 | $1,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 692 | $1,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 785 | $1,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 232 | $1,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 112 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P464 | FUND | 32 | $1,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 1,206 | $1,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 598 | $1,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 45 | $1,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 800 | $1,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 361 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| SIGMATRON INTL INC | 82661L101 | COM | 192 | $1,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 657 | $1,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 1,989 | $1,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 300 | $1,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 533 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 26 | $1,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 498 | $1,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 40 | $1,000 | thousands by filing date | |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 1,191 | $1,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 615 | $1,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 65 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 72 | $1,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 115 | $1,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 635 | $1,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 48 | $1,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 1,351 | $1,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 257 | $1,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 758 | $1,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 285 | $1,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 66 | $1,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 118 | $1,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 585 | $1,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 371 | $1,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 191 | $1,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 333 | $1,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 9,294 | $1,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 369 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 99,532 | $1,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 489 | $1,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 75 | $1,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 400 | $1,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 287 | $1,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 3,010 | $1,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 2,724 | $1,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 40 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T456 | ETN LKD 34 | 104 | $1,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 1,258 | $1,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 502 | $1,000 | thousands by filing date | |
| PRINCIPAL CONTRARIAN VALUE INDEX ETF | 74255Y862 | ETF | 29 | $1,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 55 | $1,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 25 | $1,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N106 | COM | 340 | $1,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 250 | $1,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC | 29273B112 | *W EXP 05/08/202 | 1,400 | $1,000 | thousands by filing date | |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 3,405 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T282 | XLNKS REIT ETN36 | 54 | $1,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 1,335 | $1,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 1,000 | $1,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 1,296 | $1,000 | thousands by filing date | |
| SENTINEL ENERGY SVCS INC | G8062D128 | UNIT 11/02/2022 | 93 | $1,000 | thousands by filing date | |
| SABAN CAP ACQUISITION CORP | 78516C114 | *W EXP 09/21/202 | 1,200 | $1,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | G0726L125 | Stock | 100 | $1,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 200 | $1,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R129 | *W EXP 99/99/999 | 677 | $1,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P111 | *W EXP 05/17/202 | 1,278 | $1,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 50 | $1,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 150 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 3,200 | $1,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y114 | W EXP 02/02/202 | 1,300 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A203 | UNIT 01/15/2024 | 112 | $1,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25460E513 | DLY ROB AI 3X | 77 | $1,000 | thousands by filing date | |
| MTECH ACQUISITION CORP | 55378W115 | *W EXP 08/01/202 | 1,400 | $1,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F132 | RIGHT 99/99/9999 | 1,000 | $1,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N136 | RIGHT 08/21/2022 | 2,800 | $1,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 217 | $1,000 | thousands by filing date | |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 850 | $1,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 383 | $1,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B110 | *W EXP 03/07/202 | 3,900 | $1,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGD ETF | 46090A606 | MLT STRGY ALTE | 24 | $1,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 3,100 | $1,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L114 | *W EXP 05/11/202 | 2,500 | $1,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L113 | *W EXP 01/21/202 | 7,000 | $1,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A875 | DMND HILL VAL | 30 | $1,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 26 | $1,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 297 | $1,000 | thousands by filing date | |
| JMU LTD | 46647L105 | SPONSORED ADR | 3,349 | $1,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 5,475 | $1,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 2,331 | $1,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629117 | *W EXP 11/14/202 | 581 | $1,000 | thousands by filing date | |
| RMG NETWORKS HLDG CORP | 74966K300 | COM NEW | 918 | $1,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V127 | *W EXP 02/11/202 | 6,570 | $1,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T258 | AXELATRDR 3X LNG | 3 | $1,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 1,000 | $1,000 | thousands by filing date | principal |
| ATLANTIC ACQUISITION CORP | 048206205 | UNIT 02/08/2019 | 100 | $1,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TASEKO MINES LTD COM | 876511106 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EURODRY LTD | Y23508107 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LANTHEUS HLDGS INC | 516544103 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERICEL CORP | 92346J108 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 145 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIFCO INDS INC | 826546103 | COM | 77 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SER TR | 78468R689 | S&P KENSHO SMART | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 92 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 41 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MECHEL PREF SPON ADR | 583840509 | COM | 270 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERTEX ENERGY INC | 92534K107 | COM | 407 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G848 | VIRTUS WMC INTNL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREAT PANTHER MINING | 39115V101 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORGENESIS INC | 68619K204 | COM | 56 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERMOLECULAR INC | 45882D109 | COM | 153 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 38 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHEROKEE INC | 16444H102 | COM | 775 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BSQUARE CORP | 11776U300 | COM | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 1,099 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 1,115 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LDN BRH | 25154H541 | PSHS AGRI SHR38 | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORMEDIX INC | 21900C100 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIRE 500 ETF | 45782C201 | ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLIGENIX INC | 834223307 | COM | 129 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WILHELMINA INTL INC | 968235200 | COM NEW | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 58 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 807 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 190 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNE PHARMACEUTICALS INC | 45254C200 | COM NEW | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LENDINGCLUB CORP | 52603A109 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| WESTWATER RES INC | 961684107 | COM | 401 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURYN RES INC | 05208W108 | COM | 117 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTORI THERAPEUTICS INC | 23283K402 | COM PAR | 61 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 195 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 128 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 226 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATYR PHARMA INC | 002120103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 237 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 496 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740D830 | RTRN DISABILIT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 245 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 6,048 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 168 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MATLIN & PARTNERS ACQUISITIO | 57682V114 | *W EXP 05/28/202 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGNEGAS CORP | 55939L400 | COM PAR | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MCCLATCHY CO | 579489303 | CL A NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCONOVA THERAPEUTICS INC | 68232V116 | *W EXP 07/11/202 | 4,717 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |