13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 8,040 holding rows worth $252,295,740,000.
- Accession
- 0000950123-18-011573
- Filer
- CIK 1610520
- Filed
- 2018-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A combination report, 13,792 entries on the cover page, a total value of $252,295,740,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $252,295,774,000 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 |
|---|---|---|---|---|---|---|
| MACROGENICS INC | 556099109 | COM | 2,840 | $61,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 594 | $61,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 3,367 | $61,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,970 | $61,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 2,575 | $61,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 7,361 | $61,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 2,073 | $61,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 2,699 | $61,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 2,786 | $61,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 3,156 | $61,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 6,124 | $61,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 60,000 | $61,000 | thousands by filing date | principal |
| LUTHER BURBANK CORP | 550550107 | COM | 5,596 | $61,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 1,808 | $61,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 9,648 | $61,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 4,506 | $61,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 1,047 | $61,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 3,369 | $61,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 13,027 | $61,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 5,207 | $61,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 400 | $60,000 | thousands by filing date | put |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 2,275 | $60,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 1,479 | $60,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 9,195 | $60,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 1,782 | $60,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P863 | CALIF MUN INCM | 1,205 | $60,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 3,024 | $60,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 2,150 | $60,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 4,835 | $60,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 2,012 | $60,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 75,000 | $60,000 | thousands by filing date | principal |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 8,196 | $60,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 10,684 | $60,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 29,686 | $60,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 4,088 | $60,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 907 | $60,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 1,365 | $59,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 600 | $59,000 | thousands by filing date | put |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 3,312 | $59,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 1,892 | $59,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 836 | $59,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 3,330 | $59,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,471 | $59,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 5,887 | $59,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 2,809 | $59,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 3,999 | $59,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 4,557 | $59,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 4,466 | $59,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,612 | $59,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 1,390 | $59,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 1,741 | $59,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 2,917 | $59,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 1,222 | $59,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 54 | $59,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 1,917 | $59,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,700 | $58,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 11,739 | $58,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 1,200 | $58,000 | thousands by filing date | put |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 4,713 | $58,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,601 | $58,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 5,100 | $58,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 5,336 | $58,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 1,344 | $58,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 16,718 | $58,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 4,113 | $58,000 | thousands by filing date | |
| FRONTDOOR INC COM | 35905A109 | Stock | 1,400 | $57,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 874 | $57,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 3,649 | $57,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 1,198 | $57,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 16,856 | $57,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 464 | $57,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 2,489 | $57,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 400 | $56,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 1,642 | $56,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 2,296 | $56,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 676 | $56,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 7,476 | $56,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 1,612 | $56,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 25,805 | $56,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 2,257 | $56,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 2,241 | $56,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 1,895 | $56,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 7,500 | $56,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 13,598 | $56,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 300 | $55,000 | thousands by filing date | put |
| GDL FD | 361570104 | COM SH BEN IT | 6,046 | $55,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 10,353 | $55,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 1,493 | $55,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,517 | $55,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 7,540 | $55,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,294 | $55,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 1,999 | $55,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,291 | $55,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 3,379 | $55,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 2,550 | $55,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D332 | VELOCITY SHS DAI | 2,079 | $55,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 2,291 | $55,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 2,868 | $55,000 | thousands by filing date | |
| STRONGVEST ETF TR | 863418109 | CWA INCOME | 2,200 | $55,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 4,763 | $54,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 1,800 | $54,000 | thousands by filing date | call |
| TWIN DISC INC | 901476101 | COMMON STOCK | 2,323 | $54,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 4,883 | $54,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 505 | $54,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 4,449 | $54,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 1,047 | $54,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 9,097 | $54,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 13,281 | $54,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 34,000 | $54,000 | thousands by filing date | principal |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 17,160 | $54,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 2,112 | $54,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 7,650 | $54,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 7,082 | $54,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 1,876 | $54,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 3,033 | $54,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 2,248 | $54,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 538 | $54,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 400 | $53,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 1,747 | $53,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 13,639 | $53,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,672 | $53,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,925 | $53,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 13,347 | $53,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E662 | MKT HLDGS I VELCTYSHS USDJPY | 2,320 | $53,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 4,090 | $52,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 2,009 | $52,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 3,039 | $52,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,730 | $52,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 3,355 | $52,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 18,316 | $52,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 2,065 | $52,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 9,561 | $52,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 47,601 | $52,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 7,549 | $52,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 1,593 | $52,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 32,070 | $52,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 6,586 | $52,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 10,630 | $52,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 2,112 | $51,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 2,969 | $51,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 2,725 | $51,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,585 | $51,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 2,738 | $51,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 6,742 | $51,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 3,615 | $51,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 2,135 | $51,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 1,424 | $51,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E872 | CMN | 2,478 | $51,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 613 | $51,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 7,054 | $51,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 5,411 | $51,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 17,976 | $51,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 12,753 | $51,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 917 | $51,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 30,831 | $51,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 8,862 | $51,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 11,782 | $51,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G871 | VIRTUS CUMBRLAND | 2,103 | $51,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C757 | INTERNATNL REV | 1,900 | $51,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 600 | $50,000 | thousands by filing date | put |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,707 | $50,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,152 | $50,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 4,553 | $50,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P504 | INCOME EQT FOCUS | 1,523 | $50,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 3,184 | $50,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 4,380 | $50,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 2,172 | $50,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 1,141 | $50,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 20,000 | $50,000 | thousands by filing date | put |
| BARCLAYS BK PLC | 06746P571 | FUND | 1,028 | $50,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 4,743 | $50,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 9,682 | $50,000 | thousands by filing date | |
| COLLPLANT HLDGS LTD | 19516Q208 | SPONSORED ADR NE | 9,831 | $50,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 800 | $49,000 | thousands by filing date | put |
| VERACYTE INC COM | 92337F107 | Stock | 5,169 | $49,000 | thousands by filing date | |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 2,020 | $49,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 1,289 | $49,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 5,608 | $49,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 7,588 | $49,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 30,000 | $49,000 | thousands by filing date | principal |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 5,394 | $49,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 21,120 | $49,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K117 | DAILY NAT GAS RE | 2,648 | $49,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,662 | $49,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 7,391 | $48,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,980 | $48,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 1,503 | $48,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 2,161 | $48,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 1,961 | $48,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 18,676 | $48,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 2,434 | $48,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 5,105 | $48,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,826 | $48,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 2,279 | $48,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 1,818 | $48,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 1,637 | $48,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K743 | VELOCITYSHS LONG | 1,240 | $48,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 1,637 | $47,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 2,106 | $47,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 18,546 | $47,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 2,372 | $47,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 3,180 | $47,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 1,770 | $47,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 22,001 | $47,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 846 | $47,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 20,317 | $47,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 2,967 | $47,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 4,063 | $47,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 72,591 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 3,183 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 1,863 | $47,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 33,516 | $47,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 500 | $46,000 | thousands by filing date | put |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 800 | $46,000 | thousands by filing date | put |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 1,065 | $46,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 7,135 | $46,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 14,466 | $46,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 2,724 | $46,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 6,421 | $46,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 3,142 | $46,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 1,927 | $46,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 1,114 | $46,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 1,966 | $46,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 1,868 | $46,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 4,887 | $46,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 2,757 | $46,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 5,581 | $46,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 32,733 | $46,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,575 | $46,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 12,217 | $46,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E802 | DLY RGNAL BKS 3X | 1,797 | $46,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 15,984 | $46,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q486 | ALPS DORESEY | 1,379 | $46,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935805 | US VALUE FACTR | 562 | $45,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 1,231 | $45,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 5,993 | $45,000 | thousands by filing date | |
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| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 2,039 | $45,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 8,411 | $45,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,343 | $45,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 4,764 | $45,000 | thousands by filing date | |
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| WISDOMTREE TR | 97717Y832 | ICBCCS S&P CHINA | 1,710 | $45,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 300 | $44,000 | thousands by filing date | put |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 9,158 | $44,000 | thousands by filing date | |
| FIDELITY HIGH YIELD FACTOR ETF | 316092618 | HIGH YILD ETF | 881 | $44,000 | thousands by filing date | |
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| FORTUNA MNG CORP F | 349915108 | COM | 10,000 | $44,000 | thousands by filing date | put |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 5,922 | $44,000 | thousands by filing date | |
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| TUNIU CORP | 89977P106 | SPONSORED ADS | 6,169 | $44,000 | thousands by filing date | |
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| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 1,215 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 1,155 | $44,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 1,597 | $44,000 | thousands by filing date | |
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| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 1,989 | $43,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 3,974 | $43,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 3,468 | $43,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 1,521 | $43,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 5,170 | $43,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 26,813 | $43,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 19,127 | $43,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 5,014 | $43,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 797 | $43,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 19,050 | $43,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 84,865 | $43,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,127 | $43,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,025 | $43,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP | 420870206 | UNIT 10/19/2022 | 4,152 | $43,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 2,806 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 1,565 | $43,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 597 | $43,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 1,249 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 300 | $42,000 | thousands by filing date | put |
| GOGO INC | 38046C109 | COM | 8,000 | $42,000 | thousands by filing date | put |
| GOGO INC | 38046C109 | COM | 8,000 | $42,000 | thousands by filing date | call |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,058 | $42,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,165 | $42,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 1,612 | $42,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 1,018 | $42,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 4,115 | $42,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 10,721 | $42,000 | thousands by filing date | |
| ADVISORSHARES NEW TECH AND MEDIA ETF | 00768Y552 | ETF | 1,877 | $42,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,439 | $42,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 1,562 | $42,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,549 | $42,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 1,627 | $42,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 2,431 | $41,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 1,294 | $41,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 6,606 | $41,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 500 | $41,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 2,901 | $41,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 3,518 | $41,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 4,331 | $41,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 300 | $41,000 | thousands by filing date | put |
| HARTE HANKS INC | 416196202 | COM | 5,721 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 935 | $41,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 10,580 | $41,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 18,000 | $41,000 | thousands by filing date | principal |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 57,902 | $41,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 1,481 | $41,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 6,900 | $41,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D654 | 3X INVERS SILV | 1,199 | $41,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 1,779 | $41,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 12,695 | $41,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 38,920 | $41,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 2,324 | $41,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 1,274 | $41,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 7,123 | $41,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 8,000 | $41,000 | thousands by filing date | |
| CHURCHILL CAP CORP | 17142R202 | UNIT 99/99/9999 | 4,030 | $41,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 7,860 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X420 | GLBL HGD SMLCP | 1,554 | $41,000 | thousands by filing date | |
| ETFS TR | 26923J883 | BBG STRGY K 1 | 1,351 | $41,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 3,412 | $40,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 2,269 | $40,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 16,498 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 2,160 | $40,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 6,249 | $40,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 461 | $40,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 22,378 | $40,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 6,250 | $40,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 1,850 | $40,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 1,296 | $40,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,539 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74347B185 | FUND | 1,792 | $40,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 17,096 | $40,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 2,534 | $40,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 2,777 | $40,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 651 | $40,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 1,147 | $40,000 | thousands by filing date | |
| ARROW INVTS TR | 042765685 | DWA TACT INTL | 1,380 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 1,583 | $40,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 4,078 | $40,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 1,550 | $40,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 3,482 | $40,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 1,692 | $40,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E647 | MKT HLDGS I VELCTYSHS USDAUD | 2,000 | $40,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 1,343 | $40,000 | thousands by filing date | |
| SPDR SER TR | 78468R119 | S&P TECH H | 512 | $40,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 300 | $39,000 | thousands by filing date | put |
| VIOMI TECHNOLOGY CO LTD | 92762J103 | SPONSORED ADS | 4,278 | $39,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 4,063 | $39,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 1,530 | $39,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 5,179 | $39,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 1,828 | $39,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 3,583 | $39,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 4,086 | $39,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 1,626 | $39,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 2,947 | $39,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 1,051 | $39,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,172 | $39,000 | thousands by filing date | |
| Call - ZION $36.27 Exp 11/14/2018 | 989701131 | Warrants | 2,800 | $39,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 11,111 | $39,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 5,276 | $39,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 1,062 | $39,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 432,399 | $39,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,375 | $39,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L208 | EMRG MKT DIV ETF | 1,315 | $39,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 835 | $38,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 1,725 | $38,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 1,467 | $38,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 500 | $38,000 | thousands by filing date | put |
| TERRENO RLTY CORP | 88146M101 | COM | 1,015 | $38,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 13,846 | $38,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 2,166 | $38,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,483 | $38,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 5,026 | $38,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 2,000 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 529 | $38,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 4,500 | $38,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 3,400 | $38,000 | thousands by filing date | call |
| HARVEST CAP CR CORP | 41753F109 | COM | 3,479 | $38,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 660 | $38,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 1,135 | $38,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 9,949 | $38,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 7,367 | $38,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 505 | $38,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 1,333 | $38,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 2,433 | $38,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G797 | ROGERS AI GLOB | 1,531 | $38,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H732 | QUTX RSK MNDGW | 1,322 | $38,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,615 | $37,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,900 | $37,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 7,000 | $37,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,856 | $37,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 595 | $37,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 3,450 | $37,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 5,014 | $37,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 1,924 | $37,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 6,889 | $37,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 22,996 | $37,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 15,678 | $37,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 6,478 | $37,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 2,422 | $37,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 2,386 | $37,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 2,429 | $37,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 4,147 | $37,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 2,686 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K166 | DAILY EUROPEAN | 1,082 | $37,000 | thousands by filing date | |
| ONE MADISON CORP | G6772P100 | COM CL A | 3,805 | $37,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,279 | $37,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 5,836 | $36,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,138 | $36,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 68,372 | $36,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 1,702 | $36,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 7,161 | $36,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 5,118 | $36,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 3,480 | $36,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 1,137 | $36,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 10,788 | $36,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 3,649 | $36,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 1,008 | $36,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 3,842 | $36,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 5,880 | $36,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y203 | WILSHIRE REIT | 780 | $36,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 200 | $35,000 | thousands by filing date | put |
| AGNT INC | 30212W100 | COM | 1,871 | $35,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 729 | $35,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 4,359 | $35,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 5,158 | $35,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 4,250 | $35,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 636 | $35,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,119 | $35,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,789 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 835 | $35,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,443 | $35,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 6,417 | $35,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 2,311 | $35,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 1,542 | $35,000 | thousands by filing date | |
| USCF FDS TR | 91733T307 | US 3X OIL FD | 427 | $35,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E291 | VLCTYSHS 3X LNG | 784 | $35,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 1,961 | $35,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 344 | $35,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 2,316 | $35,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 933 | $34,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 2,458 | $34,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 5,216 | $34,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 1,575 | $34,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,000 | $34,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,292 | $34,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 7,505 | $34,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 1,439 | $34,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 501 | $34,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 7,906 | $34,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 635 | $34,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,953 | $34,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 2,116 | $34,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 12,529 | $34,000 | thousands by filing date | |
| NEW FRONTIER CORP | G6485P116 | UNIT 99/99/9999 | 3,300 | $34,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 261 | $34,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 577 | $33,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 17,933 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 500 | $33,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 706 | $33,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 3,155 | $33,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 7,103 | $33,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,733 | $33,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 996 | $33,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 1,312 | $33,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R108 | BBG COMMD K 1 | 1,307 | $33,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 406 | $33,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 3,333 | $33,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 3,200 | $33,000 | thousands by filing date | put |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 750 | $33,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 5,325 | $33,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 1,467 | $33,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 793 | $33,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 987 | $33,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 1,621 | $33,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 4,270 | $33,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 1,567 | $33,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 1,051 | $33,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 33,000 | $33,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 788 | $33,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 1,240 | $33,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 661 | $33,000 | thousands by filing date | |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 1,165 | $32,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 1,167 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 1,089 | $32,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 50,533 | $32,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 2,278 | $32,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 3,866 | $32,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R306 | HIPS US HIGH INC | 1,835 | $32,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 1,280 | $32,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,192 | $32,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 25,557 | $32,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 2,249 | $32,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 5,100 | $32,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 7,000 | $32,000 | thousands by filing date | principal |
| Castle Brands Inc | 148435100 | COM | 30,315 | $32,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 4,775 | $32,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 1,631 | $32,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-18-011573 | this filing | 2018-11-14 | acceptance time not in the bulk data set |