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 |
|---|---|---|---|---|---|---|
| INTEVAC INC | 461148108 | COM | 871 | $5,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 2,557 | $5,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 411 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,000 | $5,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,006 | $5,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,975 | $5,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,697 | $5,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 3,088 | $5,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 3,390 | $5,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 3,709 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 75 | $5,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 5,543 | $5,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 313 | $5,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 2,583 | $5,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 125 | $5,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 1,426 | $5,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 3,646 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 203 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 12,616 | $5,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 4,000 | $5,000 | thousands by filing date | principal |
| VACCINEX INC | 918640103 | CMN | 651 | $5,000 | thousands by filing date | |
| DOGNESS INTERNATIONAL CORP | G2788T103 | COM CL A | 1,931 | $5,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 6,015 | $5,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 1,798 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X149 | FNDMTL US SHRT | 100 | $5,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 3,358 | $5,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 1,172 | $5,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V107 | CL A | 450 | $5,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC | 85855A302 | COM | 3,426 | $5,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 12,535 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| TAOPING INC COM | G8675V101 | Stock | 3,564 | $5,000 | thousands by filing date | |
| OPPENHEIMER ETF TR RUSL 1000 MOMT | 68386C682 | CEF | 188 | $5,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 103 | $5,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E233 | VELCTYSHS USDCHF | 200 | $5,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 3,576 | $5,000 | thousands by filing date | |
| CHINA RECYCLING ENERGY CORP | 168913200 | COM NEW | 4,270 | $5,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760137 | SHS NEW | 5,131 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A438 | DEFIANCE FUTUR | 200 | $5,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W202 | COM NEW | 9,350 | $5,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 500 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q494 | BUZZ US SMT LDR | 132 | $5,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 15,801 | $5,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $5,000 | thousands by filing date | principal |
| DBX ETF TR | 233051465 | XTRCK BRCLY INTL | 98 | $5,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 224 | $5,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 2,117 | $5,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q508 | COM NEW | 4,020 | $5,000 | thousands by filing date | |
| OPGEN INC | 68373L208 | COM NEW | 2,458 | $5,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 158 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 76 | $4,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 913 | $4,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 621 | $4,000 | thousands by filing date | |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 79 | $4,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C862 | INNOVATOR DEEPW | 163 | $4,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 615 | $4,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 1,838 | $4,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 212 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 199 | $4,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 226 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 136 | $4,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 1,752 | $4,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,712 | $4,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 180 | $4,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 1,162 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A511 | CMN | 145 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P603 | CMN | 160 | $4,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 2,977 | $4,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 2,918 | $4,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 50 | $4,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 1,839 | $4,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 4,427 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 73 | $4,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 100 | $4,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 531 | $4,000 | thousands by filing date | |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 259,044 | $4,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 7,695 | $4,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 410 | $4,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 1,989 | $4,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 1,000 | $4,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 1,500 | $4,000 | thousands by filing date | |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 222 | $4,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 389 | $4,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 175 | $4,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 2,300 | $4,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 1,373 | $4,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 839 | $4,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,557 | $4,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 2,152 | $4,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 4,188 | $4,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 2,890 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 2,078 | $4,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 243 | $4,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 4,605 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 230 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 72 | $4,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 3,125 | $4,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 1,506 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 69 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 491 | $4,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 241 | $4,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 3,884 | $4,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 1,680 | $4,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 3,076 | $4,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 1,998 | $4,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 258 | $4,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 14,473 | $4,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 1,470 | $4,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T217 | VLCTYSHS 3X S&P | 61 | $4,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 2,712 | $4,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS CORP | 284849114 | W EXP 08/03/202 | 10,835 | $4,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C300 | COM NEW | 4,154 | $4,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 2,056 | $4,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 3,388 | $4,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 100 | $4,000 | thousands by filing date | put |
| Regional Health Properties Inc | 75903M101 | COM | 23,280 | $4,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 1,290 | $4,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 3,117 | $4,000 | thousands by filing date | |
| CODE CHAIN NEW CONTINENT LTD COM | 87266C109 | Stock | 1,550 | $4,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,000 | $4,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 7,874 | $4,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 1,790 | $4,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| NAKED BRAND GROUP LIMITED | Q6519T109 | ORD SHS | 1,341 | $4,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 1,794 | $4,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 1,601 | $4,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 1,901 | $4,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E159 | VELCTYSHS USDGBP | 200 | $4,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E654 | MKT HLDGS I VELCTYSHS JPYUSD | 150 | $4,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 5,116 | $4,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 2,000 | $4,000 | thousands by filing date | principal |
| BISON CAP ACQUISITION CORP | G1142P104 | ORD SHS | 400 | $4,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P129 | RIGHT 99/99/9999 | 10,550 | $4,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 4,565 | $4,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 6,586 | $4,000 | thousands by filing date | |
| TapImmune Inc | 876033408 | COM | 466 | $4,000 | thousands by filing date | |
| GABELLI CONV&INCOM SECS FD I | 36240B125 | RIGHT 10/17/2018 | 43,466 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 70 | $3,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,036 | $3,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 300 | $3,000 | thousands by filing date | put |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 1,649 | $3,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 5,389 | $3,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 1,721 | $3,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 728 | $3,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 248 | $3,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 346 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $3,000 | thousands by filing date | principal |
| PIMCO EQUITY SER | 72202L363 | CMN | 100 | $3,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 200 | $3,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,247 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 47 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 94 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 140 | $3,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 190 | $3,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 1,040 | $3,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 403 | $3,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 762 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 200 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 47 | $3,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 106 | $3,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 4,000 | $3,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 100 | $3,000 | thousands by filing date | put |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,637 | $3,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 2,618 | $3,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 100 | $3,000 | thousands by filing date | put |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 16,076 | $3,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 100 | $3,000 | thousands by filing date | put |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 3,569 | $3,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,000 | $3,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 3,606 | $3,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 3,741 | $3,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 2,639 | $3,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 8,281 | $3,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 78 | $3,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 23,720 | $3,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 140 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 104 | $3,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 914 | $3,000 | thousands by filing date | |
| CAMBER ENERGY INC | 13200M201 | COM NEW | 9,494 | $3,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 991 | $3,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 3,416 | $3,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 135 | $3,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| MEDIGUS LTD SPON ADS NEW | 58471G300 | ADR | 750 | $3,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 2,107 | $3,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 1,789 | $3,000 | thousands by filing date | |
| THE9 LTD SPON ADS NEW | 88337K203 | ADR | 2,059 | $3,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527117 | *W EXP 06/27/202 | 3,571 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 149 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 101 | $3,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 200 | $3,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 166 | $3,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 976 | $3,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 304 | $3,000 | thousands by filing date | |
| JMU LTD | 46647L204 | SPONSORED ADS | 2,353 | $3,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 2,000 | $3,000 | thousands by filing date | principal |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 595 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539U107 | FI ENHNCD EUR 50 | 28 | $3,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 1,200 | $3,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 300 | $3,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E464 | VELCTYSHS GBPUSD | 110 | $3,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 1,085 | $3,000 | thousands by filing date | |
| USAA ETF TR | 90291F402 | MSCI EMRG MKTS | 58 | $3,000 | thousands by filing date | |
| USAA ETF TR | 90291F600 | CORE INTRMDITE | 62 | $3,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 1,448 | $3,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 3,000 | $3,000 | thousands by filing date | principal |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 185 | $3,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 1,714 | $3,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 27,577 | $3,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 128 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J759 | US LRG CP OPTM | 95 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A735 | SERENITYSHS IM | 96 | $3,000 | thousands by filing date | |
| CHINA COML CR INC | 16891K103 | COM | 3,564 | $3,000 | thousands by filing date | |
| XPRESSPA GROUP INC | 98420U109 | COM | 19,327 | $3,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 2,000 | $3,000 | thousands by filing date | principal |
| INPIXON | 45790J305 | COM NEW | 14,973 | $3,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L209 | COM NEW | 6,874 | $3,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L110 | *W EXP 07/29/202 | 2,376 | $3,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 2,141 | $2,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 433 | $2,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 867 | $2,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 76 | $2,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 646 | $2,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 1,557 | $2,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527109 | SHS | 365 | $2,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 360 | $2,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 363 | $2,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 2,370 | $2,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P637 | FTSE JAPAN HDG | 57 | $2,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 104 | $2,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 600 | $2,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 701 | $2,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $2,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 120 | $2,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 391 | $2,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 916 | $2,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 725 | $2,000 | thousands by filing date | |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 540 | $2,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 431 | $2,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 1,958 | $2,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 2,000 | $2,000 | thousands by filing date | principal |
| QUANTUM CORP | 747906501 | COM | 1,000 | $2,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 400 | $2,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 190 | $2,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 521 | $2,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 6,252 | $2,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 567 | $2,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 376 | $2,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 335 | $2,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 214 | $2,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,015 | $2,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 550 | $2,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 4,711 | $2,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 2,673 | $2,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 1,175 | $2,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 704 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L527 | 30 YR TREAS BULL | 45 | $2,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 1,095 | $2,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 587 | $2,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 1,694 | $2,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 558 | $2,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 2,700 | $2,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505756 | INNOVATION SHS | 100 | $2,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 4,400 | $2,000 | thousands by filing date | |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 761 | $2,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 1,135 | $2,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 2,244 | $2,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 6,772 | $2,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 239 | $2,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 1,378 | $2,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 400 | $2,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 1,282 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 133 | $2,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 184 | $2,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 2,386 | $2,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 785 | $2,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E161 | *W EXP 05/03/202 | 2,700 | $2,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 505 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 109 | $2,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 1,140 | $2,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 120 | $2,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 449 | $2,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 219 | $2,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,500 | $2,000 | thousands by filing date | |
| PLATINUM EAGLE ACQUISITIN CO | G7126L126 | UNIT 01/09/2023 | 165 | $2,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N114 | *W EXP 05/30/202 | 3,800 | $2,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 1,264 | $2,000 | thousands by filing date | |
| Tottenham Acquisition I Limited | G8959N106 | SHS | 200 | $2,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 17,522 | $2,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E480 | VELCTYSHS USDEUR | 84 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 11,340 | $2,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 100 | $2,000 | thousands by filing date | |
| Sensus Healthcare, Inc @6.75 6 | 81728J117 | warrants | 1,015 | $2,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 1,303 | $2,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 1,638 | $2,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C864 | EMERGING MKT | 60 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B870 | CDS SH NA HYCR | 49 | $2,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 3,561 | $2,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 2,045 | $2,000 | thousands by filing date | |
| RENMIN TIANLI GROUP INC | G7500A100 | SHS | 880 | $2,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F108 | SHS | 200 | $2,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F116 | *W EXP 03/23/202 | 10,500 | $2,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 1,697 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33739Q606 | HEITMAN GLOBAL | 111 | $2,000 | thousands by filing date | |
| NOVUME SOLUTIONS INC | 67012D106 | COM | 2,003 | $2,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 5,043 | $2,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 2,550 | $2,000 | thousands by filing date | |
| SPINNAKER ETF TR | 84858T103 | FIELDSTONE MERLN | 55 | $2,000 | thousands by filing date | |
| I AM CAP ACQUISITION CO | 45074Q124 | RIGHT 05/22/2019 | 3,370 | $2,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847208 | SHS | 1,160 | $2,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 78 | $1,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 42 | $1,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 260 | $1,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 1,288 | $1,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 43 | $1,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 23 | $1,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 35 | $1,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 51 | $1,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 148 | $1,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 809 | $1,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 13 | $1,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 459 | $1,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 212 | $1,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 32 | $1,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 75 | $1,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 291 | $1,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 109 | $1,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 18 | $1,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 906 | $1,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 151 | $1,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 474 | $1,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 59 | $1,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 10 | $1,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 70 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 380 | $1,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 623 | $1,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 687 | $1,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 200 | $1,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 122 | $1,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 257 | $1,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 1,040 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G848 | VIRTUS WMC INTNL | 49 | $1,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 100 | $1,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 601 | $1,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 266 | $1,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 3,094 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 369 | $1,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 472 | $1,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,777 | $1,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 285 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 133 | $1,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 91 | $1,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 5,762 | $1,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 88 | $1,000 | thousands by filing date | |
| ASSOCIATED BANC CORP | 045487113 | WTS | 200 | $1,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 1,000 | $1,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 730 | $1,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 1,474 | $1,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 20 | $1,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 42 | $1,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 457 | $1,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 115 | $1,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 200 | $1,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 503 | $1,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 333 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 191,293 | $1,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 534 | $1,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 8,508 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 41 | $1,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 1,300 | $1,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 10 | $1,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 923 | $1,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 184 | $1,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 773 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T456 | ETN LKD 34 | 91 | $1,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C808 | COM PAR | 1,181 | $1,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 376 | $1,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 50 | $1,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 5,316 | $1,000 | thousands by filing date | |
| DROPCAR INC | 26210U104 | COM | 1,719 | $1,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 674 | $1,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 1,500 | $1,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 250 | $1,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 4,155 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 147,696 | $1,000 | thousands by filing date | |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 3,405 | $1,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 2,164 | $1,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760102 | COM CL A | 100 | $1,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 1,793 | $1,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 121 | $1,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y800 | COM | 1,151 | $1,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 753 | $1,000 | thousands by filing date | |
| JONES ENERGY INC | 48019R306 | CL A NEW | 190 | $1,000 | thousands by filing date | |
| NEOVASC INC | 64065J205 | COM NEW | 472 | $1,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 995 | $1,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 506 | $1,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 517 | $1,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F138 | *W EXP 04/20/202 | 14,674 | $1,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R129 | *W EXP 99/99/999 | 677 | $1,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P111 | *W EXP 05/17/202 | 1,278 | $1,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 50 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 3,200 | $1,000 | thousands by filing date | |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 19,215 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A203 | UNIT 01/15/2024 | 112 | $1,000 | thousands by filing date | |
| DOLPHIN ENTMT INC | 25686H118 | *W EXP 12/26/202 | 2,000 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y301 | Cmn | 55 | $1,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| ALTA MESA RES INC 3 | 02133L117 | COM | 1,000 | $1,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 714 | $1,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G854 | ZACKS INTL MLT | 73 | $1,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 8,852 | $1,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F132 | RIGHT 99/99/9999 | 2,000 | $1,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V115 | *W EXP 07/24/202 | 500 | $1,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 994 | $1,000 | thousands by filing date | |
| GREENLAND ACQUISITIN CORPORA | G40981113 | RIGHT 04/27/2025 | 1,650 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A186 | ULTRPRO SHRT NEW | 102 | $1,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612109 | SHS | 1,007 | $1,000 | thousands by filing date | |
| DPW HLDGS INC | 26140E105 | COM | 3,189 | $1,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B128 | RIGHT 99/99/9999 | 3,100 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y816 | BALANCED INCOME | 41 | $1,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 3,525 | $1,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J113 | *W EXP 09/28/202 | 3,400 | $1,000 | thousands by filing date | |
| SOLENO THERAPEUTICS INC | 834203135 | *W EXP 11/12/201 | 10,773 | $1,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC | Y2069P507 | SHS PAR | 553 | $1,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E889 | PROSPOTS SPONR | 42 | $1,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505780 | BERNSTEIN GBL | 24 | $1,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 3,000 | $1,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E204 | UNIT 07/27/2022 | 100 | $1,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 5,875 | $1,000 | thousands by filing date | |
| PARKER DRILLING CO. | 701081408 | COM | 186 | $1,000 | thousands by filing date | |
| O'SHARES FTSE ASIA PACIFIC QUALITY DIVIDEND ETF | 67110P605 | ETF | 49 | $1,000 | thousands by filing date | |
| IMXIW US 19 Jan 22 C11.5 (International Money Expr | 46005L119 | W EXP 01/19/202 | 500 | $1,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L102 | COM | 100 | $1,000 | thousands by filing date | |
| ACTIVE WEIGHTING FDS ETF TR | 00509T300 | EVENTSHS US POLI | 33 | $1,000 | thousands by filing date | |
| MERCANTIL BK HLDG CORP | 58734F206 | CL B | 200 | $1,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROVISION INC DEL | 594960304 | COM NEW | 394 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 17,353 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46434V514 | MSCI CHINA A | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROBOT MED INC | 59503A204 | COM NEW | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABACUS FCF ETF TR | 89628W401 | INTL LEADERS ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 227 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVISTAR INTL CORP | 638901306 | PFD | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CITIGROUP INC | 172967226 | WARRANT | 163,425 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLONDER TONGUE LABS INC | 093698108 | COM | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GULF RESOURCES INC | 40251W309 | COM | 450 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 286 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 2,232 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADVISION INC | 111412706 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBALSCAPE INC | 37940G109 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHMITT INDS INC ORE | 806870200 | COM | 133 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LATTICE STRATEGIES TR | 518416607 | HARTFORD MLT DIV | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLIGENIX INC | 834223307 | COM | 129 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Pareteum Corporation | 69946T207 | COM | 141 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LENDINGCLUB CORP | 52603A109 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| WESTWATER RES INC | 961684107 | COM | 65 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A861 | COM PAR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVINGER INC | 053734208 | COM NEW | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTORI THERAPEUTICS INC | 23283K402 | COM PAR | 64 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 183 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PYXIS TANKERS INC | Y71726106 | COM | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATYR PHARMA INC | 002120103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADIAL PHARMACEUTICALS INC | 00688A114 | *W EXP 07/31/202 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO ACTIVELY MANAGED ETF | 46090A200 | BLNCD MLTI AST | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 281 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740D830 | RTRN DISABILIT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD WELLINGTON FD | 921935300 | US LIQUIDITY | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 139 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CITIUS PHARMACEUTICALS INC | 17322U116 | *W EXP 08/08/202 | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |