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 |
|---|---|---|---|---|---|---|
| CM SEVEN STAR ACQUISITION CO | G2345N102 | SHS | 3,204 | $32,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 12,000 | $32,000 | thousands by filing date | principal |
| NORTHERN LTS FD TR IV | 66538H724 | QUTX RSK MGDML | 1,293 | $32,000 | thousands by filing date | |
| TORM PLC SHS CL A | G89479102 | Stock | 4,678 | $31,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,768 | $31,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,069 | $31,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 995 | $31,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 9,564 | $31,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 2,604 | $31,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 45,000 | $31,000 | thousands by filing date | principal |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 1,066 | $31,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 3,611 | $31,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L877 | ROYCE QUANT SML | 1,016 | $31,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 1,377 | $31,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 1,644 | $31,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 7,598 | $31,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 3,766 | $31,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 20,916 | $31,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 30,186 | $31,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 1,479 | $31,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 4,534 | $31,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,567 | $31,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 1,709 | $31,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505764 | CAPITAL LINK GBL | 1,162 | $31,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 5,081 | $31,000 | thousands by filing date | |
| ABILITY INC | G8789K124 | SHS | 8,910 | $31,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 2,721 | $31,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 15,845 | $31,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 14,746 | $31,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 4,161 | $31,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 3,382 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347B730 | ULSHRT TECH NEW | 2,898 | $31,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 2,166 | $31,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGD ETF | 46090A606 | MLT STRGY ALTE | 1,437 | $31,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 10,936 | $30,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 1,386 | $30,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 500 | $30,000 | thousands by filing date | put |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 1,000 | $30,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 586 | $30,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 1,442 | $30,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 11,795 | $30,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 419 | $30,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,153 | $30,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,567 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 576 | $30,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 649 | $30,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 1,607 | $30,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 64,940 | $30,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 3,906 | $30,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 1,385 | $30,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 1,975 | $30,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,152 | $30,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,785 | $30,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 8,535 | $30,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 1,379 | $30,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 2,780 | $30,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 1,760 | $30,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 1,245 | $30,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X210 | MSCI CHINA ETF | 1,623 | $30,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 500 | $29,000 | thousands by filing date | put |
| COMSTOCK RES INC COM | 205768302 | Stock | 3,415 | $29,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,379 | $29,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 903 | $29,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 1,778 | $29,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,200 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 600 | $29,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 2,565 | $29,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 827 | $29,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 4,264 | $29,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 1,091 | $29,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 26,043 | $29,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 778 | $29,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 20,554 | $29,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 10,302 | $29,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 1,930 | $29,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 3,191 | $29,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 3,810 | $29,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 1,378 | $28,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 4,445 | $28,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,993 | $28,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 1,230 | $28,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 3,104 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 454 | $28,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 3,560 | $28,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 2,569 | $28,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 4,926 | $28,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 933 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 1,079 | $28,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 1,915 | $28,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 1,377 | $28,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 1,854 | $28,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 18,461 | $28,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 4,241 | $28,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 4,366 | $28,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,050 | $28,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 2,775 | $28,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 2,559 | $28,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 1,089 | $28,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641760 | CMCI AGRI ETN | 1,770 | $28,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 940 | $28,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 2,522 | $28,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 11,904 | $28,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 4,530 | $28,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 7,255 | $28,000 | thousands by filing date | |
| RA MED SYS INC | 74933X104 | COM | 1,541 | $28,000 | thousands by filing date | |
| IPIC ENTMT INC | 46263D106 | COM CL A | 4,663 | $28,000 | thousands by filing date | |
| UNION ACQUISITION CORP | G9366W119 | UNIT 99/99/9999 | 2,715 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 876 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347B219 | ULSHRT SEMIC NEW | 1,792 | $28,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 9,900 | $27,000 | thousands by filing date | put |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 1,512 | $27,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 788 | $27,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 6,380 | $27,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,935 | $27,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,804 | $27,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 6,894 | $27,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D373 | VELOCITY SHS 3X | 1,443 | $27,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 38,976 | $27,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 3,458 | $27,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 888 | $27,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 4,790 | $27,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 22,881 | $27,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F208 | UNIT 09/30/2025 | 2,630 | $27,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 563 | $27,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | G62848109 | SHS CL A | 2,800 | $27,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 5,227 | $27,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 2,203 | $26,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 200 | $26,000 | thousands by filing date | put |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 337 | $26,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 500 | $26,000 | thousands by filing date | put |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,264 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 730 | $26,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,694 | $26,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 3,536 | $26,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H591 | CMN | 882 | $26,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,186 | $26,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 631 | $26,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 6,017 | $26,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 3,460 | $26,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 1,302 | $26,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 2,503 | $26,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 7,000 | $26,000 | thousands by filing date | principal |
| REVLON INC | 761525609 | OPT | 1,146 | $26,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 1,954 | $26,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 2,128 | $26,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 3,131 | $26,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 20,000 | $26,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 2,891 | $26,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 6,153 | $26,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 15,000 | $26,000 | thousands by filing date | put |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 775 | $26,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 14,817 | $26,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 14,000 | $26,000 | thousands by filing date | principal |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 4,950 | $26,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 7,000 | $26,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 2,235 | $26,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N202 | UNIT 05/11/2023 | 2,504 | $26,000 | thousands by filing date | |
| TENZING ACQUISITION CORP | G8708A124 | UNIT 08/24/2024 | 2,550 | $26,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 3,065 | $25,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 1,887 | $25,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 1,243 | $25,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 3,146 | $25,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 3,306 | $25,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 641 | $25,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 2,359 | $25,000 | thousands by filing date | |
| JERASH HLDGS US INC | 47632P101 | CMN | 3,832 | $25,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 900 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,566 | $25,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 608 | $25,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 1,506 | $25,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 2,231 | $25,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 34,390 | $25,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 6,413 | $25,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 2,413 | $25,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 4,065 | $25,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F104 | COM | 19,411 | $25,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 3,368 | $25,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 4,552 | $25,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 1,161 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 13,172 | $25,000 | thousands by filing date | |
| INVESCO CURNCYSHS CHINESE RE | 46138X105 | CHINESE RENMIN | 348 | $25,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 25,000 | $25,000 | thousands by filing date | principal |
| HUNTER MARITIME ACQUISITION | Y37828111 | CL A | 2,550 | $25,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 30,897 | $25,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E313 | S&P500 VAL MOM | 875 | $25,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W107 | COM | 2,351 | $25,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 1,300 | $24,000 | thousands by filing date | put |
| INSPERITY INC | 45778Q107 | COM | 200 | $24,000 | thousands by filing date | put |
| NEWS CORP NEW | 65249B208 | CL B | 1,787 | $24,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,023 | $24,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 3,565 | $24,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 4,579 | $24,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 1,765 | $24,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 1,082 | $24,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 16,667 | $24,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 1,809 | $24,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 6,053 | $24,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 8,904 | $24,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 9,840 | $24,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 41,154 | $24,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,083 | $24,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,134 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 915 | $24,000 | thousands by filing date | |
| AXA EQUITABLE HLDGS INC | 054561105 | COM | 1,107 | $24,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 13,681 | $24,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 2,370 | $24,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 13,141 | $24,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 7,596 | $24,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,349 | $24,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E479 | PURBTA FTSE EM | 1,015 | $24,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 5,453 | $24,000 | thousands by filing date | |
| SENTINEL ENERGY SVCS INC | G8062D128 | UNIT 11/02/2022 | 2,293 | $24,000 | thousands by filing date | |
| MICROSECTORS FANG INDEX -3X INVERSE LEVERAGED ETN | 063679864 | ETF | 898 | $24,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 884 | $24,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745204 | UNIT 02/01/2023 | 2,389 | $24,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 100 | $23,000 | thousands by filing date | put |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 1,325 | $23,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 4,348 | $23,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,028 | $23,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,606 | $23,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 2,799 | $23,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 2,205 | $23,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 879 | $23,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 844 | $23,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 1,520 | $23,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 400 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 628 | $23,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 10,480 | $23,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 805 | $23,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 1,476 | $23,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 970 | $23,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 2,793 | $23,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 1,323 | $23,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 810 | $23,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 5,298 | $23,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 8,488 | $23,000 | thousands by filing date | |
| CDTI ADVANCED MATLS INC | 12514V204 | COM NEW | 11,906 | $23,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760110 | UNIT 99/99/9999 | 2,197 | $23,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076209 | UNIT 03/12/2025 | 2,262 | $23,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 3,637 | $23,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L205 | UNIT 05/11/2025 | 2,200 | $23,000 | thousands by filing date | |
| WCF BANCORP INC | 92940L103 | COM | 2,485 | $23,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 882 | $22,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 2,004 | $22,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 2,553 | $22,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,188 | $22,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 2,100 | $22,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 1,987 | $22,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 2,844 | $22,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 2,700 | $22,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 1,424 | $22,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 10,922 | $22,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 11,868 | $22,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 42,966 | $22,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 5,300 | $22,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 7,267 | $22,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 1,288 | $22,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 2,799 | $22,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468203 | COM NEW | 6,972 | $22,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 4,715 | $22,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 2,371 | $22,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 998 | $22,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS LTD | M1492T105 | SHS | 2,536 | $22,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 1,779 | $22,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 1,500 | $21,000 | thousands by filing date | put |
| AC IMMUNE SA | H00263105 | SHS | 2,519 | $21,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 1,112 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 263 | $21,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 1,259 | $21,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 2,522 | $21,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 5,428 | $21,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 638 | $21,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 16,770 | $21,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 5,415 | $21,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 6,892 | $21,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 5,856 | $21,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 1,283 | $21,000 | thousands by filing date | |
| ABERDEEN STANDARD INVESTS ETFS ABRDN BLMBRG COMDTY LNGR DATD | 26923J602 | Equities | 821 | $21,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,031 | $21,000 | thousands by filing date | |
| TRIDENT ACQUISITIONS CORP | 89615T205 | UNIT 05/09/2023 | 2,070 | $21,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 2,100 | $21,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950111 | UNIT 08/15/2023 | 2,100 | $21,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B102 | COM | 1,802 | $21,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 301 | $20,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 5,141 | $20,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 500 | $20,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 1,085 | $20,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 3,185 | $20,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 1,125 | $20,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 15,500 | $20,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 578 | $20,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 1,574 | $20,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 2,183 | $20,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767850 | MSCI CHINA CLEAN | 1,043 | $20,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 2,244 | $20,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 4,639 | $20,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 2,005 | $20,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 6,407 | $20,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 1,291 | $20,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 377 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 609 | $20,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 6,059 | $20,000 | thousands by filing date | |
| NANOVIBRONIX INC | 63008J108 | COM | 4,331 | $20,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 1,415 | $20,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 1,852 | $20,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 3,665 | $20,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 9,627 | $20,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T597 | VELOCITY SHS EXC | 3,009 | $20,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 2,730 | $20,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 630 | $20,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 2,570 | $20,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K207 | UNIT 06/19/2025 | 1,950 | $20,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 300 | $19,000 | thousands by filing date | put |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 3,296 | $19,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 746 | $19,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 2,991 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 518 | $19,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,595 | $19,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 30,587 | $19,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 7,312 | $19,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 5,709 | $19,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 9,032 | $19,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 1,248 | $19,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 1,581 | $19,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 7,539 | $19,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 7,016 | $19,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 2,568 | $19,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,429 | $19,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 6,783 | $19,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 839 | $19,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,882 | $19,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 971 | $19,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 487 | $19,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 815 | $19,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 4,716 | $19,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 6,421 | $19,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 11,348 | $19,000 | thousands by filing date | |
| CONVERGEONE HLDGS INC | 212481105 | COM CL A | 2,011 | $19,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 2,145 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 461 | $19,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784114 | UNIT 99/99/9999 | 1,850 | $19,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A110 | UNIT 99/99/9999 | 1,800 | $19,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 1,728 | $19,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 3,544 | $19,000 | thousands by filing date | |
| INDUSTREA ACQUISITION CORP | 45579J104 | CL A | 1,831 | $19,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 1,259 | $19,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 2,000 | $19,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P702 | LIBRT INT OPPT | 661 | $19,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 991 | $19,000 | thousands by filing date | |
| INVESCO CURNCYSHS SWEDSH KRO | 46138V109 | SWEDISH KRONA | 177 | $19,000 | thousands by filing date | |
| MATLIN & PARTNE | 57682V205 | Common Stock | 1,831 | $19,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G855 | ISECTR GRW ETF | 693 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 526 | $18,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 3,000 | $18,000 | thousands by filing date | call |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 419 | $18,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 14,884 | $18,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 1,372 | $18,000 | thousands by filing date | |
| FRANKLIN FTSE CHINA ETF | 35473P819 | ETF | 783 | $18,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 1,699 | $18,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 989 | $18,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 905 | $18,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 2,820 | $18,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,301 | $18,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 5,600 | $18,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,450 | $18,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 12,092 | $18,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 78,474 | $18,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 1,955 | $18,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 1,129 | $18,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 1,300 | $18,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 473 | $18,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 2,500 | $18,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 18,063 | $18,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 568 | $18,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 19,898 | $18,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 2,254 | $18,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 8,824 | $18,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788206 | UNIT 01/18/2023 | 1,700 | $18,000 | thousands by filing date | |
| SUMMIT WIRELESS TECHNLGIES I | 86633R104 | COM | 4,226 | $18,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L109 | DEV EX US ETF | 600 | $18,000 | thousands by filing date | |
| DBX ETF TR | 233051473 | XTRCK BRCLY TRSY | 371 | $18,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 628 | $18,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505798 | BERNSTEIN US RSH | 600 | $18,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 620 | $17,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 600 | $17,000 | thousands by filing date | put |
| RIOT PLATFORMS INC | 767292105 | COM | 4,494 | $17,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 1,823 | $17,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 630 | $17,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 1,555 | $17,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 3,476 | $17,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 1,097 | $17,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,150 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 279 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 416 | $17,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 559 | $17,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,096 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 472 | $17,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 10,452 | $17,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 1,308 | $17,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 1,159 | $17,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 10,353 | $17,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 4,290 | $17,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 720 | $17,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 1,341 | $17,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 1,707 | $17,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 16,169 | $17,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 7,013 | $17,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 1,539 | $17,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 16,227 | $17,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H716 | QUTX RSK MGDML | 651 | $17,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 1,638 | $17,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 11,000 | $17,000 | thousands by filing date | principal |
| ARDELYX INC | 039697107 | COM | 3,610 | $16,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,922 | $16,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 779 | $16,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,551 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 661 | $16,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 3,193 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 843 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 503 | $16,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 1,437 | $16,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 1,518 | $16,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 5,705 | $16,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 15,908 | $16,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 11,092 | $16,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 10,859 | $16,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 2,749 | $16,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,007 | $16,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 1,355 | $16,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 5,643 | $16,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 1,706 | $16,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 974 | $16,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 2,294 | $16,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 3,643 | $16,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 5,700 | $16,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 941 | $16,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 7,066 | $16,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 2,541 | $16,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 7,360 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K125 | DAILY S&P OIL | 2,987 | $16,000 | thousands by filing date | |
| DROPBOX INC - CLASS A | G4027R104 | COM | 2,040 | $16,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 7,733 | $16,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 229 | $16,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 3,356 | $16,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 7,114 | $16,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,600 | $16,000 | thousands by filing date | |
| PLATINUM EAGLE ACQUISITIN CO | G7126L100 | SHS CL A | 1,600 | $16,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 1,600 | $16,000 | thousands by filing date | |
| KAYNE ANDERSON ACQUISITION | 48661U102 | COM CL A | 1,598 | $16,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,865 | $16,000 | thousands by filing date | |
| Enterprise Federal Bancorp | 26952G107 | Common | 1,010 | $16,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 422 | $16,000 | thousands by filing date | |
| REALITY | 75605A801 | SHS ETF TR NASDAQ NEXGEN | 779 | $16,000 | thousands by filing date | |
| MERCANTIL BK HLDG CORP | 58734F107 | CL A | 1,295 | $16,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 1,027 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 490 | $15,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,235 | $15,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 925 | $15,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,482 | $15,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 5,214 | $15,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 700 | $15,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 2,946 | $15,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 1,617 | $15,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 2,908 | $15,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 676 | $15,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 1,751 | $15,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 994 | $15,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 2,509 | $15,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 1,228 | $15,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 5,855 | $15,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 6,663 | $15,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 5,251 | $15,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,189 | $15,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 911 | $15,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 450 | $15,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,512 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 650 | $15,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 5,786 | $15,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 1,410 | $15,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 2,907 | $15,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 1,875 | $15,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 5,925 | $15,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H304 | COM PAR | 82,346 | $15,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L121 | UNIT 99/99/9999 | 1,500 | $15,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 21,216 | $15,000 | thousands by filing date | |
| TROVAGENE INC COM PAR | 897238408 | Stock | 18,153 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 609 | $15,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 1,507 | $15,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 3,914 | $15,000 | thousands by filing date | |
| JPMORGAN CHASE FINL CO LLC | 48129G703 | CUSHING MLP 37 | 960 | $15,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 1,600 | $14,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 200 | $14,000 | thousands by filing date | call |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 279 | $14,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,198 | $14,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 8,703 | $14,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 3,865 | $14,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 3,095 | $14,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 3,400 | $14,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,836 | $14,000 | 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 |