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 |
|---|---|---|---|---|---|---|
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 1,866 | $14,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 19,399 | $14,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 257 | $14,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 4,148 | $14,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 7,590 | $14,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 660 | $14,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 406 | $14,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 6,455 | $14,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 524 | $14,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 8,042 | $14,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,381 | $14,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 8,000 | $14,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 935 | $14,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 1,750 | $14,000 | thousands by filing date | |
| BIOFRONTERA AG ADR | 09075G105 | COM | 1,016 | $14,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 1,829 | $14,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 4,398 | $14,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 9,750 | $14,000 | thousands by filing date | |
| ARROW INVTS TR DOGS OF THE | 042765693 | CEF | 280 | $14,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 497 | $14,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 14,253 | $14,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V206 | UNIT 99/99/9999 | 1,399 | $14,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 8,220 | $14,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A123 | UNIT 06/21/2023 | 1,330 | $14,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W123 | UNIT 03/22/2022 | 1,300 | $14,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,387 | $13,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 4,851 | $13,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 3,104 | $13,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 3,794 | $13,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 3,818 | $13,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 651 | $13,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 439 | $13,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 2,064 | $13,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,480 | $13,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,116 | $13,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 2,039 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 219 | $13,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 2,164 | $13,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 6,142 | $13,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 600 | $13,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 12,175 | $13,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 14,000 | $13,000 | thousands by filing date | principal |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 455 | $13,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 2,585 | $13,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 18,314 | $13,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 7,000 | $13,000 | thousands by filing date | principal |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 8,607 | $13,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,622 | $13,000 | thousands by filing date | |
| ETRACS CMCI SILVER TR ETN | 902641794 | CMN | 735 | $13,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 828 | $13,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 7,551 | $13,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 334 | $13,000 | thousands by filing date | |
| ETF MANAGER GROUP COMMODITY | 26923H101 | SIT RISING RTE | 513 | $13,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 1,495 | $13,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 8,260 | $13,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 500 | $13,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V101 | COM | 1,160 | $13,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 31,096 | $13,000 | thousands by filing date | |
| Barington/Hilco Acquisition Corp. | 06759V200 | UNIT | 1,255 | $13,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 5,246 | $12,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 1,310 | $12,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 1,387 | $12,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 867 | $12,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 1,821 | $12,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,860 | $12,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 848 | $12,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,955 | $12,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 300 | $12,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 4,351 | $12,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 8,370 | $12,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 7,902 | $12,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P645 | FRANKLIN FTSE | 500 | $12,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,217 | $12,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 495 | $12,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 14,447 | $12,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 11,495 | $12,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 14,514 | $12,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 3,000 | $12,000 | thousands by filing date | principal |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 3,500 | $12,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 2,209 | $12,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 941 | $12,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 1,421 | $12,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 2,886 | $12,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 3,492 | $12,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 1,028 | $12,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 2,481 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 628 | $12,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 852 | $12,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 3,573 | $12,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 858 | $12,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 1,003 | $12,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 2,287 | $12,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 163 | $12,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 4,367 | $12,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,050 | $12,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 757 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 484 | $12,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 11,221 | $12,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 58,540 | $12,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 3,128 | $12,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 8,000 | $12,000 | thousands by filing date | principal |
| SABAN CAP ACQUISITION CORP | 78516C106 | COM CL A | 1,220 | $12,000 | thousands by filing date | |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 2,755 | $12,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B201 | UNIT 99/99/9999 | 1,108 | $12,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 1,401 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 88 | $11,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 854 | $11,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 659 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 440 | $11,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 387 | $11,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 100 | $11,000 | thousands by filing date | put |
| UNITED BANCORP INC OHIO | 909911109 | COM | 885 | $11,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 420 | $11,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 30,712 | $11,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 725 | $11,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 2,518 | $11,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 1,827 | $11,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 456 | $11,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 4,100 | $11,000 | thousands by filing date | call |
| LUNA INNOVATIONS INC | 550351100 | COM | 3,586 | $11,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 2,850 | $11,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 2,164 | $11,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 940 | $11,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 7,144 | $11,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 915 | $11,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 4,420 | $11,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 4,957 | $11,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 5,810 | $11,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 934 | $11,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 1,580 | $11,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 9,669 | $11,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 4,563 | $11,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 3,531 | $11,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 1,641 | $11,000 | thousands by filing date | |
| PHAXIAM THERAPEUTICS S A | 29604W108 | SPONSORED ADR | 1,246 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 330 | $11,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 410 | $11,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 10,716 | $11,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 9,451 | $11,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 4,150 | $11,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 10,292 | $11,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E560 | LADERITE 0-5YR | 461 | $11,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 6,822 | $11,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 5,344 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 538 | $11,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 413 | $11,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 259 | $11,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 5,406 | $11,000 | thousands by filing date | |
| HESS CORP | 42809H404 | DEP PDF SR A | 145 | $11,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L209 | US EQT EX 2027 | 185 | $11,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 649 | $11,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 3,025 | $11,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 9,525 | $11,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C690 | RUSL 1000 SIZE | 400 | $11,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q105 | COM | 13,488 | $11,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 400 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 149 | $10,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 433 | $10,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 1,857 | $10,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 352 | $10,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 860 | $10,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,985 | $10,000 | thousands by filing date | |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 902 | $10,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 459 | $10,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1,500 | $10,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092717 | INT VL FCT ETF | 432 | $10,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 9,599 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 100 | $10,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 400 | $10,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 1,644 | $10,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 631 | $10,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 375 | $10,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 594 | $10,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 590 | $10,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 5,376 | $10,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 1,400 | $10,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 4,075 | $10,000 | thousands by filing date | |
| X FINL SPONSORED ADS | 98372W103 | ADR | 1,132 | $10,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,366 | $10,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 863 | $10,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 5,424 | $10,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 2,000 | $10,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 3,729 | $10,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 2,152 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 357 | $10,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 4,125 | $10,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 6,857 | $10,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 3,611 | $10,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 521 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A370 | LONCAR CHINA BIO | 436 | $10,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 4,800 | $10,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 400 | $10,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 8,688 | $10,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N301 | UNIT 12/31/2023 | 931 | $10,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 5,000 | $10,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,937 | $10,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 10,000 | $10,000 | thousands by filing date | principal |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 5,000 | $10,000 | thousands by filing date | principal |
| ESTRE AMBIENTAL INC | G3206V100 | SHS | 1,625 | $10,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 7,057 | $10,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 8,000 | $10,000 | thousands by filing date | principal |
| GCAP 4.1250 18 | 36268WAB6 | Bond 30/360P2 U | 10,000 | $10,000 | thousands by filing date | principal |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 3,364 | $10,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 928 | $9,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 1,100 | $9,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 1,657 | $9,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 914 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,789 | $9,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,047 | $9,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,037 | $9,000 | thousands by filing date | |
| ALLIQUA BIOMEDICAL INC | 019621309 | COMMON STOCK | 3,862 | $9,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 891 | $9,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 3,043 | $9,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 4,022 | $9,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 1,421 | $9,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 6,000 | $9,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740P114 | FUND | 300 | $9,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,451 | $9,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 39,303 | $9,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 2,963 | $9,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,980 | $9,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 3,767 | $9,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 7,064 | $9,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 520 | $9,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 385 | $9,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 351 | $9,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 3,098 | $9,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 1,301 | $9,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 3,246 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 224 | $9,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 3,799 | $9,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 4,394 | $9,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 3,862 | $9,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES LTD | 57778L103 | COM | 272 | $9,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 1,272 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 335 | $9,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 162 | $9,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 1,797 | $9,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 8,580 | $9,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 212 | $9,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 4,499 | $9,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 9,965 | $9,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 1,063 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E653 | DLY EUR STX 3X | 439 | $9,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 1,865 | $9,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 4,792 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 657 | $9,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 2,042 | $9,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 924 | $9,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 13,281 | $9,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A206 | UNIT 02/28/2021 | 858 | $9,000 | thousands by filing date | |
| NETSHOES CAYMAN LTD | G6455X107 | COM | 3,965 | $9,000 | thousands by filing date | |
| SSLJ COM LIMITED | G8406F102 | SHS CL A | 11,524 | $9,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC | 761123405 | COM NEW | 194,799 | $9,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P201 | SHS | 30,902 | $9,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108300 | YLDSHS SENIOR | 399 | $9,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 3,281 | $8,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 4,023 | $8,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P694 | FRANKLN SWZLND | 338 | $8,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 500 | $8,000 | thousands by filing date | call |
| INTEST CORP | 461147100 | COMMON STOCK | 1,077 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 286 | $8,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 245 | $8,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 314 | $8,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 1,953 | $8,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,775 | $8,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 3,475 | $8,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,955 | $8,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 10,499 | $8,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 500 | $8,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 5,597 | $8,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 10,968 | $8,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 2,500 | $8,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 292 | $8,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 3,000 | $8,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 1,892 | $8,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 5,000 | $8,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06746P548 | FUND | 164 | $8,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 23,229 | $8,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 1,982 | $8,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 5,639 | $8,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 6,950 | $8,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 1,047 | $8,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 1,988 | $8,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 582 | $8,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 8,123 | $8,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 4,656 | $8,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 1,476 | $8,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 933 | $8,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $8,000 | thousands by filing date | principal |
| BIOMERICA INC | 09061H307 | COM NEW | 2,296 | $8,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 1,134 | $8,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 8,604 | $8,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 4,888 | $8,000 | thousands by filing date | |
| SHARING ECONOMY INTL INC | 819534108 | COM | 3,023 | $8,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 780 | $8,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 2,541 | $8,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 9,988 | $8,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 3,949 | $8,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 8,049 | $8,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 5,791 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 158 | $8,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 1,898 | $8,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 8,000 | $8,000 | thousands by filing date | principal |
| ALLIANCE MMA INC | 018626101 | COM | 31,791 | $8,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 800 | $8,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A307 | COM PAR | 1,932 | $8,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 5,595 | $8,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 800 | $8,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784101 | SPONSORED ADR | 959 | $8,000 | thousands by filing date | |
| MTECH ACQUISITION CORP | 55378W107 | COM CLASS A | 800 | $8,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 4,357 | $8,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 2,027 | $8,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 6,676 | $7,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 479 | $7,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 144 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 155 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 435 | $7,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 1,477 | $7,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 4,417 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 367 | $7,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 3,485 | $7,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 242 | $7,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 2,968 | $7,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 1,825 | $7,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 2,875 | $7,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 1,149 | $7,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 3,743 | $7,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 2,017 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 190 | $7,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 1,726 | $7,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 760 | $7,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 33,846 | $7,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 100 | $7,000 | thousands by filing date | put |
| OI SA-ADR | 670851500 | ADR | 2,730 | $7,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 4,281 | $7,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 444 | $7,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 1,300 | $7,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 5,871 | $7,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,794 | $7,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 4,215 | $7,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 4,798 | $7,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 2,800 | $7,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 7,819 | $7,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 180 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 136 | $7,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 2,107 | $7,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641810 | CMCI GOLD ETN | 222 | $7,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 138 | $7,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 295 | $7,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 5,140 | $7,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,315 | $7,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 5,583 | $7,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 4,372 | $7,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 2,485 | $7,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $7,000 | thousands by filing date | principal |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 2,423 | $7,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 87 | $7,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 25,013 | $7,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 254 | $7,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| IBIO INC | 451033203 | COM NEW | 8,645 | $7,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 4,173 | $7,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 1,605 | $7,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 3,481 | $7,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 155 | $7,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 554 | $7,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 1,000 | $7,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 2,486 | $7,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 1,582 | $7,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 118 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A495 | VOLSHARES LARG | 297 | $7,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 536 | $7,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 50,911 | $7,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 5,815 | $7,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 33,169 | $7,000 | thousands by filing date | |
| NEMAURA MED INC | 640442109 | COM | 2,824 | $7,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 4,000 | $7,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 1,751 | $7,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R114 | UNIT 06/21/2023 | 650 | $7,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 19,050 | $7,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 5,018 | $7,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y115 | *W EXP 12/24/201 | 833 | $7,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 7,000 | $7,000 | thousands by filing date | principal |
| OPPENHEIMER ETF TR | 68386C658 | RUSL 1000 VALU | 250 | $7,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 8,086 | $7,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 12,295 | $6,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 700 | $6,000 | thousands by filing date | call |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 400 | $6,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N691 | VICTORYSHS US | 200 | $6,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 2,281 | $6,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 300 | $6,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 459 | $6,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 208 | $6,000 | thousands by filing date | |
| FIRST TR FD VI ETF FIRST TRUST SMID GROWTH STRENGTH | 33738R746 | ETF | 240 | $6,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 6,084 | $6,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 2,395 | $6,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 601 | $6,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 300 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 228 | $6,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 3,165 | $6,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 6,150 | $6,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 11,306 | $6,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 4,504 | $6,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 5,000 | $6,000 | thousands by filing date | principal |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 200 | $6,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 800 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P464 | FUND | 132 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P589 | FUND | 125 | $6,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 4,979 | $6,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 3,127 | $6,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 2,957 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 3,478 | $6,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,779 | $6,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 19,000 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 209 | $6,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 2,500 | $6,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 469 | $6,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 1,020 | $6,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767801 | MSCI ALL CHINA | 239 | $6,000 | thousands by filing date | |
| ENTREPRENEURSHARES SERIES TR | 293828802 | ERSHARES ENT | 300 | $6,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 1,645 | $6,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,786 | $6,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 5,198 | $6,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 5,314 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V415 | S&P100 EQL WGT | 185 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 524 | $6,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 500 | $6,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 157 | $6,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 672 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 603 | $6,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 1,497 | $6,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 3,778 | $6,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 88 | $6,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 291 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051564 | XTRCK EURZON EQT | 249 | $6,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 447 | $6,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 2,939 | $6,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 3,387 | $6,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 5,000 | $6,000 | thousands by filing date | principal |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 3,469 | $6,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q811 | LONG SHORT ETF | 250 | $6,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372108 | UNIT 08/29/2024 | 554 | $6,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 550 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 246 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 182 | $6,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 2,582 | $6,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E608 | KNLDG LD WD ETF | 180 | $6,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90270L354 | SER B LKD 46 | 142 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 196 | $6,000 | thousands by filing date | |
| MTECH ACQUISITION CORP | 55378W206 | UNIT 01/19/2023 | 548 | $6,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 6,148 | $6,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 6,204 | $6,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 10,043 | $6,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N128 | UNIT 08/21/2022 | 550 | $6,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 4,474 | $6,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 2,665 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 229 | $6,000 | thousands by filing date | |
| ATTIS INDS INC | 049836109 | COM | 21,781 | $6,000 | thousands by filing date | |
| REALM THERAPEUTICS PLC | 75606L103 | SPONSORED ADS | 1,860 | $6,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 497 | $6,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 6,000 | $6,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,000 | $6,000 | thousands by filing date | principal |
| DRAPER OAKWOOD TECHNOLOGY | 26146L103 | COM CL A | 594 | $6,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,085 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 159 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 100 | $5,000 | thousands by filing date | put |
| FULGENT GENETICS INC | 359664109 | COM | 1,189 | $5,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 345 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 82 | $5,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 839 | $5,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 1,475 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 351 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 125 | $5,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 2,039 | $5,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 1,019 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 208 | $5,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 208 | $5,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 2,717 | $5,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 146 | $5,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 3,800 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y529 | DORSY SHRT ETF | 205 | $5,000 | thousands by filing date | |
| ELTEK LTD | M40184208 | SHS | 1,483 | $5,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 475 | $5,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 100 | $5,000 | thousands by filing date | put |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 5,007 | $5,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 500 | $5,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 12,979 | $5,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 1,985 | $5,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 2,360 | $5,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 200 | $5,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 1,268 | $5,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 2,171 | $5,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 6,165 | $5,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 2,168 | $5,000 | 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 |