13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-14, with 8,115 holding rows worth $220,519,201,000.
- Accession
- 0000950123-19-001793
- Filer
- CIK 1610520
- Filed
- 2019-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A combination report, 14,003 entries on the cover page, a total value of $220,519,201,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $220,518,266,000 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 |
|---|---|---|---|---|---|---|
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 8,182 | $55,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 3,839 | $55,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 2,131 | $55,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 25,058 | $55,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 2,375 | $55,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,783 | $55,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,985 | $55,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 2,627 | $55,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 27,071 | $55,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 1,510 | $55,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 3,971 | $55,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 1,916 | $55,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 37,439 | $55,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 1,791 | $55,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 38,177 | $55,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539U107 | FI ENHNCD EUR 50 | 774 | $55,000 | thousands by filing date | |
| PROSHARES TR II | 74347W221 | ULTRAPRO 3X CR | 4,065 | $55,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,826 | $54,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 1,000 | $54,000 | thousands by filing date | put |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,982 | $54,000 | thousands by filing date | |
| FRANKLIN FTSE CHINA ETF | 35473P819 | ETF | 2,670 | $54,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 5,833 | $54,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 1,685 | $54,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 2,826 | $54,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 1,913 | $54,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 1,100 | $54,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 4,328 | $54,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 1,818 | $54,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 4,919 | $54,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 1,045 | $54,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 21,875 | $54,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 21,260 | $54,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X350 | SOLACTIVE GERMNY | 1,031 | $54,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E647 | MKT HLDGS I VELCTYSHS USDAUD | 3,000 | $54,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 5,817 | $53,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 2,298 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 2,081 | $53,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 3,088 | $53,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 5,250 | $53,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 4,186 | $53,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 4,821 | $53,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 4,658 | $53,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 5,113 | $53,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 300 | $53,000 | thousands by filing date | put |
| XBIOTECH INC | 98400H102 | COM | 10,493 | $53,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 1,093 | $53,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 2,053 | $53,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 2,487 | $53,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 2,480 | $53,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 2,330 | $53,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 1,897 | $53,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 800 | $52,000 | thousands by filing date | put |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 12,342 | $52,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 5,477 | $52,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 2,739 | $52,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 11,520 | $52,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 1,086 | $52,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 14,415 | $52,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 3,183 | $52,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 18,107 | $52,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 14,050 | $52,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 72,271 | $52,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 129,828 | $52,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T217 | VLCTYSHS 3X S&P | 1,299 | $52,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K810 | MD CP BEAR 3X NW | 2,935 | $52,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 2,684 | $52,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 3,584 | $52,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q506 | DIVRSFD RT INT | 1,978 | $52,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 10,725 | $51,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 1,000 | $51,000 | thousands by filing date | put |
| DROPBOX INC CL A | 26210C104 | Stock | 2,500 | $51,000 | thousands by filing date | call |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 1,074 | $51,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 2,636 | $51,000 | thousands by filing date | |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 2,312 | $51,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 1,709 | $51,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 7,378 | $51,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 11,349 | $51,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 7,906 | $51,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 3,881 | $51,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 4,135 | $51,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 15,033 | $51,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 1,058 | $51,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 5,292 | $50,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 3,503 | $50,000 | thousands by filing date | |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 2,390 | $50,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 16,000 | $50,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 6,080 | $50,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 3,279 | $50,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 2,522 | $50,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 6,625 | $50,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 8,908 | $50,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 5,015 | $50,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 3,960 | $50,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 2,526 | $50,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 17,421 | $50,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 2,346 | $50,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 2,874 | $50,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 2,803 | $50,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 4,062 | $49,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 2,000 | $49,000 | thousands by filing date | put |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 432 | $49,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 1,917 | $49,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 6,097 | $49,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 2,693 | $49,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 2,029 | $49,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 2,000 | $49,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 54,702 | $49,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 12,721 | $49,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 158,577 | $49,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 36,141 | $49,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 12,763 | $49,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,561 | $49,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 17,912 | $49,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y706 | ULTRA BLOOMBERG | 1,907 | $49,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 425 | $49,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 2,102 | $48,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 1,814 | $48,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 777 | $48,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 2,033 | $48,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 1,761 | $48,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,709 | $48,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 28,342 | $48,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 4,645 | $48,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 2,829 | $48,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 1,228 | $48,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 10,051 | $48,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 1,056 | $48,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 3,566 | $48,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 1,912 | $48,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 7,801 | $48,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G830 | VIRTUS GLOVIST | 2,300 | $48,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 10,645 | $47,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 20,613 | $47,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 7,428 | $47,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 5,000 | $47,000 | thousands by filing date | call |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 10,469 | $47,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 3,424 | $47,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 1,699 | $47,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 1,599 | $47,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P595 | SENIOR LOAN ETF | 1,954 | $47,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 2,010 | $47,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L405 | CMN | 3,119 | $47,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 6,466 | $47,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 14,742 | $47,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 42,483 | $47,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 20,000 | $47,000 | thousands by filing date | put |
| GRITSTONE BIO INC | 39868T105 | COM | 3,043 | $47,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P571 | FUND | 1,090 | $47,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 2,977 | $47,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 5,895 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1,098 | $47,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 2,125 | $47,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 2,349 | $47,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 1,832 | $47,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 4,270 | $46,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 1,250 | $46,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 1,041 | $46,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 2,331 | $46,000 | thousands by filing date | |
| FIDELITY HIGH YIELD FACTOR ETF | 316092618 | HIGH YILD ETF | 951 | $46,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 1,914 | $46,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 7,195 | $46,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 1,585 | $46,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 1,944 | $46,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 816 | $46,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 53,958 | $46,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 38,007 | $46,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 2,021 | $46,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 15,414 | $46,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P480 | FUND | 1,072 | $46,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 6,795 | $46,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 1,384 | $46,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 2,966 | $46,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 2,500 | $46,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 5,327 | $46,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 5,431 | $46,000 | thousands by filing date | |
| ARROW INVTS TR | 042765685 | DWA TACT INTL | 1,870 | $46,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 5,085 | $46,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 1,862 | $46,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 26,523 | $46,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 3,838 | $46,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 45,465 | $45,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 5,533 | $45,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 30,743 | $45,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 6,246 | $45,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 1,796 | $45,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R306 | HIPS US HIGH INC | 3,009 | $45,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 1,814 | $45,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 1,861 | $45,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 1,078 | $45,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 712 | $45,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 21,581 | $45,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 1,902 | $45,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 34,000 | $45,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 3,064 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 2,601 | $45,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 5,462 | $45,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 1,584 | $45,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 1,836 | $45,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 2,144 | $45,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 1,876 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K166 | DAILY EUROPEAN | 1,862 | $45,000 | thousands by filing date | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 2,891 | $44,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 8,243 | $44,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 651 | $44,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 409 | $44,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 889 | $44,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 4,107 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 940 | $44,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 3,579 | $44,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,128 | $44,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 13,438 | $44,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 7,570 | $44,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 41,198 | $44,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 111,219 | $44,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 8,367 | $44,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 2,882 | $44,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 14,469 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 1,268 | $44,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 1,170 | $44,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E552 | MSCI EMRNG MKT | 1,487 | $44,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 2,104 | $44,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 2,932 | $44,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 500 | $43,000 | thousands by filing date | put |
| ISHARES TR | 46435U861 | CORE DIVID ETF | 1,823 | $43,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 1,402 | $43,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 1,837 | $43,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 2,119 | $43,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 4,335 | $43,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 1,237 | $43,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 26,012 | $43,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 39,539 | $43,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 16,961 | $43,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 6,189 | $43,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 6,877 | $43,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 2,304 | $43,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,997 | $43,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 1,765 | $43,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372108 | UNIT 08/29/2024 | 4,239 | $43,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E863 | JAMES PURPOSE | 2,200 | $43,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C757 | INTERNATNL REV | 1,902 | $43,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 620 | $42,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 4,797 | $42,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 1,264 | $42,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 1,784 | $42,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE MOMENTUM ET | 02072L300 | ETF | 1,826 | $42,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 3,653 | $42,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 5,400 | $42,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 2,452 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 1,478 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 1,875 | $42,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 2,200 | $42,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 2,863 | $42,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 367,480 | $42,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 956 | $42,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 1,667 | $42,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 2,212 | $42,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 15,157 | $42,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 6,103 | $42,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 28,560 | $42,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 13,497 | $42,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G797 | ROGERS AI GLOB | 1,798 | $42,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R207 | S&P GSCI CM K 1 | 2,135 | $42,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 6,869 | $41,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 2,324 | $41,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 13,775 | $41,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,258 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X172 | US HGH YLD CORP | 868 | $41,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 5,887 | $41,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 3,073 | $41,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 4,052 | $41,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 7,094 | $41,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 1,993 | $41,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 17,672 | $41,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 7,882 | $41,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 15,552 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 1,133 | $41,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A537 | CBOE VEST S&P | 1,079 | $41,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 2,410 | $40,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,846 | $40,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 1,088 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74347B557 | SP500 EX TECH | 838 | $40,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 4,746 | $40,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 402 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,634 | $40,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 23,937 | $40,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,774 | $40,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 8,553 | $40,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 57,000 | $40,000 | thousands by filing date | principal |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 11,605 | $40,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 3,822 | $40,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 3,531 | $40,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 1,044 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,651 | $40,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 12,422 | $40,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 2,867 | $40,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 4,882 | $40,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L720 | CUR HDG DM IDX | 1,647 | $40,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 7,393 | $40,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K743 | VELOCITYSHS LONG | 1,197 | $40,000 | thousands by filing date | |
| ABERDEEN STD INVTS ETFS | 003261500 | BBRG ENGY CMD K1 | 1,833 | $40,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 2,545 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 1,124 | $39,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,723 | $39,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 6,239 | $39,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 6,840 | $39,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 11,921 | $39,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E521 | FUND | 579 | $39,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 81,144 | $39,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 2,367 | $39,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 5,039 | $39,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 1,937 | $39,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 6,832 | $39,000 | thousands by filing date | |
| IPIC ENTMT INC | 46263D106 | COM CL A | 12,261 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 1,697 | $39,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 17,818 | $38,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 9,704 | $38,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 3,466 | $38,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,555 | $38,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 337 | $38,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 12,571 | $38,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 15,320 | $38,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 2,926 | $38,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 1,567 | $38,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 27,158 | $38,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 4,572 | $38,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 5,710 | $37,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 2,481 | $37,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,461 | $37,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P678 | FTSE UNTD KGDM | 1,726 | $37,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C862 | INNOVATOR DEEPW | 1,829 | $37,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 1,069 | $37,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 865 | $37,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 9,727 | $37,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 3,400 | $37,000 | thousands by filing date | call |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 7,864 | $37,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 1,630 | $37,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 11,632 | $37,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 43,638 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,842 | $37,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,014 | $37,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 1,831 | $37,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 30,000 | $37,000 | thousands by filing date | principal |
| EVERCORE INC CLASS A | 29977A105 | Stock | 500 | $36,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 2,952 | $36,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 1,537 | $36,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 2,506 | $36,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 3,134 | $36,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 3,663 | $36,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,596 | $36,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 1,595 | $36,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 1,745 | $36,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 2,960 | $36,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 887 | $36,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 1,580 | $36,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 8,636 | $36,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 1,270 | $36,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 9,532 | $36,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 2,769 | $36,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 6,658 | $36,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 300 | $35,000 | thousands by filing date | put |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 1,200 | $35,000 | thousands by filing date | put |
| ARDELYX INC | 039697107 | COM | 19,996 | $35,000 | thousands by filing date | |
| MOTLEY FOOL SMALL-CAP GROWTH ETF | 74933W874 | ETF | 1,845 | $35,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 5,026 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 1,503 | $35,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 2,319 | $35,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 2,283 | $35,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 73,031 | $35,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 6,057 | $35,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 4,194 | $35,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 27,864 | $35,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 1,810 | $35,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 14,469 | $35,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 1,652 | $35,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 27,944 | $35,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 1,046 | $35,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L208 | EMRG MKT DIV ETF | 1,315 | $35,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 1,489 | $34,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,281 | $34,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 100 | $34,000 | thousands by filing date | put |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 200 | $34,000 | thousands by filing date | put |
| MODERNA INC | 60770K107 | COM | 2,200 | $34,000 | thousands by filing date | |
| BANK FIRST CORP | 06211J100 | COM | 720 | $34,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 2,765 | $34,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 1,375 | $34,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 1,280 | $34,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 10,026 | $34,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 1,819 | $34,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E679 | DAILY TRANSN ETF | 1,788 | $34,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,459 | $34,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 2,962 | $34,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 3,758 | $34,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 4,156 | $34,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 741 | $34,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P449 | FUND | 825 | $34,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 1,604 | $34,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 6,477 | $34,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 1,178 | $34,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 6,582 | $34,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 1,018 | $34,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 1,351 | $34,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 32,464 | $34,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 48,045 | $34,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 11,144 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 1,334 | $34,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E752 | DLY MSCI MX 3X | 3,500 | $34,000 | thousands by filing date | |
| STRONGVEST ETF TR | 863418109 | CWA INCOME | 1,400 | $34,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 1,975 | $33,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 1,087 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 1,885 | $33,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,069 | $33,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 1,172 | $33,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 100 | $33,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 1,469 | $33,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 481 | $33,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 1,332 | $33,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 2,129 | $33,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 747 | $33,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 1,954 | $33,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,145 | $33,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 1,202 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 1,580 | $33,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 8,693 | $33,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 12,574 | $33,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 1,047 | $33,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 25,100 | $33,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 14,000 | $33,000 | thousands by filing date | principal |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 1,176 | $33,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 7,038 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 2,806 | $33,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 33,000 | $33,000 | thousands by filing date | principal |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 2,006 | $33,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,362 | $33,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y203 | WILSHIRE REIT | 778 | $33,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 2,506 | $32,000 | thousands by filing date | |
| ISHARES TR | 46435G219 | INVESTMENT GRADE | 671 | $32,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 6,954 | $32,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 2,263 | $32,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 1,179 | $32,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 1,199 | $32,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 1,123 | $32,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 829 | $32,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 5,325 | $32,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 1,278 | $32,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 13,544 | $32,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 68,658 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,927 | $32,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 1,290 | $32,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 1,721 | $32,000 | thousands by filing date | |
| CYREN LTD | M26895108 | SHS | 10,787 | $32,000 | thousands by filing date | |
| DATASEA INC | 238116206 | COM NEW | 7,923 | $32,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H666 | FRMLAFOLIOS TATL | 1,389 | $32,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 1,584 | $32,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 13,791 | $32,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 7,595 | $32,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 1,241 | $32,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 3,157 | $32,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 51 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 1,166 | $32,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 400 | $31,000 | thousands by filing date | put |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 500 | $31,000 | thousands by filing date | call |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 3,147 | $31,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 9,106 | $31,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 788 | $31,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 4,220 | $31,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 3,093 | $31,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 6,473 | $31,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 4,578 | $31,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 4,411 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 2,040 | $31,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092725 | INT HG DIV ETF | 1,600 | $31,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 5,000 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P806 | RIVRFRNT DYN EUR | 596 | $31,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 7,699 | $31,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,252 | $31,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,042 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 912 | $31,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 10,806 | $31,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 3,003 | $31,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 1,420 | $31,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 2,000 | $31,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 6,090 | $31,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 1,550 | $31,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CORP | 80821R208 | UNIT EX 123123 | 3,150 | $31,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G871 | VIRTUS CUMBRLAND | 1,234 | $31,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 597 | $31,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 3,155 | $30,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 4,460 | $30,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 45,000 | $30,000 | thousands by filing date | principal |
| MV OIL TR | 553859109 | TR UNITS | 4,217 | $30,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 7,311 | $30,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 2,062 | $30,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 2,960 | $30,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 1,630 | $30,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 5,488 | $30,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 4,289 | $30,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 1,853 | $30,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 1,121 | $30,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 1,069 | $29,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 1,244 | $29,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-001793 | this filing | 2019-02-14 | acceptance time not in the bulk data set |