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 |
|---|---|---|---|---|---|---|
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 513 | $29,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 5,376 | $29,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 2,435 | $29,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 884 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 2,491 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 1,074 | $29,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 2,400 | $29,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E661 | CMN | 965 | $29,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 28,862 | $29,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 800 | $29,000 | thousands by filing date | put |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 11,116 | $29,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 10,944 | $29,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P464 | FUND | 626 | $29,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 10,564 | $29,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 7,627 | $29,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 11,269 | $29,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 2,494 | $29,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 1,017 | $29,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 483 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 1,485 | $29,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 2,637 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X420 | GLBL HGD SMLCP | 1,289 | $29,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,899 | $28,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,978 | $28,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 5,009 | $28,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,239 | $28,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 5,519 | $28,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 12,600 | $28,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 3,149 | $28,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H658 | INSPIRE GBL HOPE | 1,166 | $28,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 4,000 | $28,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 1,125 | $28,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,019 | $28,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 812 | $28,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 5,061 | $28,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 3,511 | $28,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 1,266 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 970 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R779 | EMERGING MKTS | 580 | $28,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,929 | $28,000 | thousands by filing date | |
| ISHARES TR | 46435G169 | RUSSELL 1000 US | 1,134 | $28,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 5,017 | $28,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 3,602 | $28,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 737 | $28,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 18,371 | $28,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 7,711 | $28,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,787 | $28,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 24,004 | $28,000 | thousands by filing date | |
| STANDARD DIVERSIFIED INC | 85336L109 | COM CL A | 1,873 | $28,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 1,550 | $28,000 | thousands by filing date | |
| SABAN CAP ACQUISITION CORP | 78516C205 | UNIT 99/99/9999 | 2,701 | $28,000 | thousands by filing date | |
| CHASERG TECHNLGY ACQUISITN C | 16166A202 | UNIT 09/30/2023 | 2,800 | $28,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 3,110 | $27,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 1,400 | $27,000 | thousands by filing date | put |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 1,000 | $27,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 2,136 | $27,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 2,045 | $27,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 1,535 | $27,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 1,062 | $27,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 3,435 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 297 | $27,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 10,943 | $27,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,611 | $27,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 1,220 | $27,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 11,300 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 642 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 827 | $27,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 19,209 | $27,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 3,034 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P456 | FUND | 667 | $27,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 25,682 | $27,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 2,426 | $27,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 635 | $27,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 33,483 | $27,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 34,710 | $27,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,367 | $27,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E291 | VLCTYSHS 3X LNG | 3,043 | $27,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 1,672 | $27,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 2,842 | $27,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 902 | $27,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 16,353 | $27,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 16,870 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 1,067 | $27,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 200 | $26,000 | thousands by filing date | put |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 14,442 | $26,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 1,941 | $26,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,014 | $26,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 2,371 | $26,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 978 | $26,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 4,445 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 779 | $26,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,218 | $26,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 15,383 | $26,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 2,000 | $26,000 | thousands by filing date | call |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 1,355 | $26,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 1,582 | $26,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 29,160 | $26,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 1,171 | $26,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 1,722 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 1,500 | $26,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 21,358 | $26,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 25 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 1,287 | $26,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 20,845 | $26,000 | thousands by filing date | |
| WEIDAI LTD | 94861A108 | SPONS ADS | 2,789 | $26,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 5,200 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 1,010 | $26,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 1,528 | $26,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 1,028 | $26,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 500 | $25,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 3,506 | $25,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 1,361 | $25,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 359 | $25,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 7,218 | $25,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 9,940 | $25,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 950 | $25,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 649 | $25,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 1,121 | $25,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 29,785 | $25,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 791 | $25,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,158 | $25,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 1,786 | $25,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 985 | $25,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 2,200 | $25,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 73,906 | $25,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E560 | LADERITE 0-5YR | 1,027 | $25,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E479 | PURBTA FTSE EM | 1,168 | $25,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 7,913 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| VECTOIQ ACQUISITION CORP | 92243N202 | UNIT 05/11/2023 | 2,504 | $25,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 25,000 | $25,000 | thousands by filing date | principal |
| BANK OF MONTREAL | 063679104 | ETN LKD 36 | 601 | $25,000 | thousands by filing date | |
| SUMMIT WIRELESS TECHNLGIES I | 86633R104 | COM | 7,181 | $25,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H732 | QUTX RSK MNDGW | 928 | $25,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 332 | $25,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 200 | $24,000 | thousands by filing date | put |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 100 | $24,000 | thousands by filing date | put |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 2,147 | $24,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 8,000 | $24,000 | thousands by filing date | put |
| GOGO INC | 38046C109 | COM | 8,000 | $24,000 | thousands by filing date | call |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 500 | $24,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 10,101 | $24,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 24,022 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 454 | $24,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 867 | $24,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 32,381 | $24,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 23,400 | $24,000 | thousands by filing date | put |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 48,747 | $24,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 4,160 | $24,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 1,090 | $24,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 2,275 | $24,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 1,161 | $24,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 1,315 | $24,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935300 | US LIQUIDITY | 349 | $24,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 5,851 | $24,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 16,581 | $24,000 | thousands by filing date | |
| ONE MADISON CORP | G6772P100 | COM CL A | 2,405 | $24,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 788 | $24,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 2,500 | $24,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745204 | UNIT 02/01/2023 | 2,339 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 1,778 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347B219 | ULSHRT SEMIC NEW | 1,190 | $24,000 | thousands by filing date | |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 1,004 | $23,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 43,533 | $23,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 6,392 | $23,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 7,723 | $23,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 3,301 | $23,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 5,674 | $23,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,465 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 386 | $23,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 2,384 | $23,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,438 | $23,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 3,143 | $23,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 913 | $23,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 3,093 | $23,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 22,324 | $23,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 12,439 | $23,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 10,000 | $23,000 | thousands by filing date | call |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 873 | $23,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,133 | $23,000 | thousands by filing date | |
| MOGU INC SPON ADS | 608012100 | ADR | 1,110 | $23,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 1,150 | $23,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 5,696 | $23,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 4,585 | $23,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 2,487 | $23,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 242 | $23,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 2,647 | $23,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F208 | UNIT 09/30/2025 | 2,330 | $23,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,312 | $23,000 | thousands by filing date | |
| PLATINUM EAGLE ACQUISITIN CO | G7126L100 | SHS CL A | 2,300 | $23,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076209 | UNIT 03/12/2025 | 2,263 | $23,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | 61946M100 | COM CL A | 2,300 | $23,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 476 | $22,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 1,101 | $22,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 1,375 | $22,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 8,367 | $22,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W598 | BLOOMBERG ROLL | 500 | $22,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 2,791 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,200 | $22,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P884 | US MID CP MLTFCT | 850 | $22,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 8,941 | $22,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 3,711 | $22,000 | thousands by filing date | |
| VIOMI TECHNOLOGY CO LTD | 92762J103 | SPONSORED ADS | 2,808 | $22,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 2,161 | $22,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 946 | $22,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E174 | ETRACS 2XM ETN | 1,026 | $22,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,186 | $22,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 8,455 | $22,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 3,184 | $22,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 2,026 | $22,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 6,702 | $22,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 9,442 | $22,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 17,282 | $22,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 2,146 | $22,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,343 | $22,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 15,583 | $22,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 754 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 783 | $22,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,679 | $22,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 1,212 | $22,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 2,555 | $22,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 5,169 | $22,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,546 | $22,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 1,472 | $22,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 16,246 | $22,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 11,342 | $22,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 5,790 | $22,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 5,376 | $22,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 22,064 | $22,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 1,000 | $22,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 1,875 | $22,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 2,642 | $22,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N106 | COM | 15,230 | $22,000 | thousands by filing date | |
| FFBW INC | 30258M107 | COM | 2,210 | $22,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760110 | UNIT 99/99/9999 | 2,197 | $22,000 | thousands by filing date | |
| SABAN CAP ACQUISITION CORP | 78516C106 | COM CL A | 2,220 | $22,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 21,000 | $22,000 | thousands by filing date | principal |
| TENZING ACQUISITION CORP | G8708A124 | UNIT 08/24/2024 | 2,200 | $22,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,659 | $22,000 | thousands by filing date | |
| ISHARES TR | 46435G144 | 10 YR INVT GRD | 495 | $22,000 | thousands by filing date | |
| DBX ETF TR | 233051473 | XTRCK BRCLY TRSY | 440 | $22,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L205 | UNIT 05/11/2025 | 2,100 | $22,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 13,302 | $21,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 913 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 1,309 | $21,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 3,002 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 1,124 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 376 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R697 | SP KENSHO INFRA | 848 | $21,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 1,213 | $21,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 1,431 | $21,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,904 | $21,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 3,683 | $21,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 22,501 | $21,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 701 | $21,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 6,258 | $21,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 2,122 | $21,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 10,677 | $21,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 10,397 | $21,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 4,701 | $21,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,500 | $21,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 974 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 1,172 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 354 | $21,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 8,692 | $21,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,535 | $21,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 9,202 | $21,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 750 | $21,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 38,634 | $21,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 1,563 | $21,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 4,802 | $21,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 1,781 | $21,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G102 | LADRD FD US EQT | 699 | $21,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 650 | $21,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 6,585 | $21,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A102 | CL A | 2,097 | $21,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 9,056 | $21,000 | thousands by filing date | |
| TRIDENT ACQUISITIONS CORP | 89615T205 | UNIT 05/09/2023 | 2,070 | $21,000 | thousands by filing date | |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 897 | $21,000 | thousands by filing date | |
| TROVAGENE INC COM PAR | 897238408 | Stock | 39,714 | $21,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 456 | $21,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 1,592 | $20,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 1,164 | $20,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 2,160 | $20,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 5,917 | $20,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 1,058 | $20,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 3,200 | $20,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 1,973 | $20,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 1,064 | $20,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 5,096 | $20,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 404 | $20,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A511 | CMN | 781 | $20,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 902 | $20,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 60,396 | $20,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 805 | $20,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 802 | $20,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 458 | $20,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 3,393 | $20,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 9,074 | $20,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 1,768 | $20,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,495 | $20,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 3,364 | $20,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,521 | $20,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 3,451 | $20,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 1,548 | $20,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 850 | $20,000 | thousands by filing date | |
| PORTFOLIOPLUS S&P 500 ETF | 25490K109 | ETF | 600 | $20,000 | thousands by filing date | |
| Tuanche Limited | 89856T104 | American Depositary Shares | 2,919 | $20,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 2,685 | $20,000 | thousands by filing date | |
| CHURCHILL CAP CORP | 17142R202 | UNIT 99/99/9999 | 1,930 | $20,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 10,804 | $20,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K207 | UNIT 06/19/2025 | 1,950 | $20,000 | thousands by filing date | |
| TIGERSHARES TR | 88680T108 | UP FINTC CHIN US | 869 | $20,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 1,811 | $20,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H716 | QUTX RSK MGDML | 820 | $20,000 | thousands by filing date | |
| UNION ACQUISITION CORP | G9366W119 | UNIT 99/99/9999 | 1,915 | $20,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 17,813 | $19,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 12,213 | $19,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,645 | $19,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 1,605 | $19,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 5,862 | $19,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 2,008 | $19,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,558 | $19,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 6,040 | $19,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q105 | SIMP AF WORL ETF | 945 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,331 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 828 | $19,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 3,210 | $19,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 2,660 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 501 | $19,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 1,272 | $19,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 3,502 | $19,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,872 | $19,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 45,706 | $19,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 3,786 | $19,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 45,000 | $19,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 12,512 | $19,000 | thousands by filing date | |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 783 | $19,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 8,499 | $19,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 87,303 | $19,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 1,239 | $19,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 969 | $19,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 22,577 | $19,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 3,402 | $19,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 11,820 | $19,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 1,983 | $19,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 7,285 | $19,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 991 | $19,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767801 | MSCI ALL CHINA | 895 | $19,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 3,677 | $19,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 16,388 | $19,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 11,793 | $19,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 2,556 | $19,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $19,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,916 | $19,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 7,742 | $19,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 1,144 | $19,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R200 | UNIT 01/07/2019 | 1,900 | $19,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 1,039 | $19,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 2,000 | $19,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 1,838 | $19,000 | thousands by filing date | |
| WCF BANCORP INC | 92940L103 | COM | 2,272 | $19,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 4,605 | $18,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 9,354 | $18,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 595 | $18,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 4,763 | $18,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 1,506 | $18,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 5,763 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 400 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 781 | $18,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 5,022 | $18,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 1,557 | $18,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 578 | $18,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,450 | $18,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 1,826 | $18,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 6,652 | $18,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 7,815 | $18,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 4,011 | $18,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 2,799 | $18,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 971 | $18,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 969 | $18,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 1,800 | $18,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 659 | $18,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 454 | $18,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 10,865 | $18,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 61,143 | $18,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 6,499 | $18,000 | thousands by filing date | |
| BIOFRONTERA AG ADR | 09075G105 | COM | 1,496 | $18,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 1,085 | $18,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 1,588 | $18,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 12,183 | $18,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P107 | mc | 351 | $18,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A110 | UNIT 99/99/9999 | 1,800 | $18,000 | thousands by filing date | |
| INVESCO CURNCYSHS CHINESE RE | 46138X105 | CHINESE RENMIN | 255 | $18,000 | thousands by filing date | |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 3,348 | $18,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 1,800 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E513 | DLY ROB AI 3X | 2,552 | $18,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N102 | SHS | 1,794 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X210 | MSCI CHINA ETF | 1,093 | $18,000 | thousands by filing date | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 754 | $17,000 | thousands by filing date | |
| ENDAVA PLC ADS | 29260V105 | ADR | 692 | $17,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 740 | $17,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,232 | $17,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 871 | $17,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 1,462 | $17,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 3,396 | $17,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 2,273 | $17,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,698 | $17,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,632 | $17,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 61,466 | $17,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 10,370 | $17,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,490 | $17,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,491 | $17,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 11,316 | $17,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 1,404 | $17,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 1,291 | $17,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 4,343 | $17,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 1,855 | $17,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 1,279 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 740 | $17,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 609 | $17,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 5,898 | $17,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 13,323 | $17,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 1,000 | $17,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 858 | $17,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 3,120 | $17,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T266 | XLINK CRD ETN37 | 881 | $17,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 2,012 | $17,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 68,988 | $17,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 22,423 | $17,000 | thousands by filing date | |
| CHARDAN HEALTHCARE ACQUISITI | 15957A207 | UNIT 12/13/2023 | 1,661 | $17,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 311 | $16,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 3,497 | $16,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 26,209 | $16,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,585 | $16,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 4,939 | $16,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 1,319 | $16,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 4,445 | $16,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 1,910 | $16,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 4,656 | $16,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 774 | $16,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H591 | CMN | 664 | $16,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 5,141 | $16,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 4,520 | $16,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 1,948 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E131 | S&P SMLCAP HIG | 744 | $16,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 11,947 | $16,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 4,000 | $16,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 850 | $16,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 4,585 | $16,000 | thousands by filing date | |
| CNFINANCE HLDGS LTD | 18979T105 | SPON ADS | 2,889 | $16,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 2,353 | $16,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 378 | $16,000 | thousands by filing date | |
| NANOVIBRONIX INC | 63008J108 | COM | 4,330 | $16,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 7,500 | $16,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 3,281 | $16,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 1,749 | $16,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 3,037 | $16,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 9,174 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 2,073 | $16,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 5,009 | $16,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 1,997 | $16,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 2,211 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 751 | $16,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 7,000 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 386 | $16,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 2,049 | $16,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,600 | $16,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 40,523 | $16,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 1,600 | $16,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 8,015 | $16,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP | 420870206 | UNIT 10/19/2022 | 1,502 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y301 | Cmn | 715 | $16,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788206 | UNIT 01/18/2023 | 1,500 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y355 | DLY DEV MKT BEAR | 856 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P702 | LIBRT INT OPPT | 661 | $16,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 422 | $16,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 40,495 | $16,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B102 | COM | 2,710 | $16,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 850 | $16,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 8,800 | $16,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 9,900 | $15,000 | thousands by filing date | put |
| TALOS ENERGY INC | 87484T108 | COM | 873 | $15,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 9,854 | $15,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 2,510 | $15,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 862 | $15,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 3,839 | $15,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,639 | $15,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 632 | $15,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 5,636 | $15,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 4,986 | $15,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 1,974 | $15,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 5,773 | $15,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 197 | $15,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 3,946 | $15,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 685 | $15,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 3,175 | $15,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 212 | $15,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 16,761 | $15,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 5,121 | $15,000 | 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 |