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 |
|---|---|---|---|---|---|---|
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 32,036 | $15,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 4,600 | $15,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 2,731 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 627 | $15,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,028 | $15,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 5,370 | $15,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 4,020 | $15,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641760 | CMCI AGRI ETN | 1,870 | $15,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 78,871 | $15,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 82,466 | $15,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 4,764 | $15,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 19,011 | $15,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 1,279 | $15,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 5,967 | $15,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 15,000 | $15,000 | thousands by filing date | principal |
| FARMMI INC SHS NEW | G33277107 | Stock | 3,603 | $15,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 4,612 | $15,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L121 | UNIT 99/99/9999 | 1,500 | $15,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 25,045 | $15,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L109 | DEV EX US ETF | 600 | $15,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 11,000 | $15,000 | thousands by filing date | principal |
| EXCHANGE TRADED CONCEPTS TR | 301505798 | BERNSTEIN US RSH | 600 | $15,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 200 | $14,000 | thousands by filing date | put |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 675 | $14,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 1,000 | $14,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 100 | $14,000 | thousands by filing date | put |
| JOINT CORP | 47973J102 | COM | 1,708 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 611 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 644 | $14,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 3,888 | $14,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 3,494 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 279 | $14,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 503 | $14,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 177 | $14,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 1,420 | $14,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,201 | $14,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 392 | $14,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 1,944 | $14,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 1,747 | $14,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 34,422 | $14,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 560 | $14,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 2,159 | $14,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 3,766 | $14,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 14,005 | $14,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 46,990 | $14,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 68,194 | $14,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 6,926 | $14,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 5,500 | $14,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 7,846 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 662 | $14,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 437 | $14,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 1,327 | $14,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 8,833 | $14,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 2,723 | $14,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 23,400 | $14,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 4,613 | $14,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 2,238 | $14,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 16,001 | $14,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 5,142 | $14,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 14,476 | $14,000 | thousands by filing date | |
| INSPIREMD INC | 45779A861 | COM PAR | 86,628 | $14,000 | thousands by filing date | |
| ABILITY INC | G8789K124 | SHS | 7,322 | $14,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 1,834 | $14,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 9,945 | $14,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 2,560 | $14,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 7,965 | $14,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 3,090 | $14,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 2,992 | $14,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 4,577 | $14,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D365 | VELOCITY SHS SHO | 697 | $14,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V107 | CL A | 1,399 | $14,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 21,466 | $14,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 2,487 | $14,000 | thousands by filing date | |
| Enterprise Federal Bancorp | 26952G107 | Common | 902 | $14,000 | thousands by filing date | |
| ARROW INVTS TR DOGS OF THE | 042765693 | CEF | 300 | $14,000 | thousands by filing date | |
| MTECH ACQUISITION CORP | 55378W206 | UNIT 01/19/2023 | 1,298 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A438 | DEFIANCE FUTUR | 693 | $14,000 | thousands by filing date | |
| COLLPLANT HLDGS LTD | 19516Q208 | SPONSORED ADR NE | 3,316 | $14,000 | thousands by filing date | |
| JPMORGAN CHASE FINL CO LLC | 48129G703 | CUSHING MLP 37 | 960 | $14,000 | thousands by filing date | |
| 3PEA INTL INC | 88579C109 | COM | 3,875 | $14,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A123 | UNIT 06/21/2023 | 1,330 | $14,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 637 | $13,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 293 | $13,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 650 | $13,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 1,357 | $13,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 2,828 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 808 | $13,000 | thousands by filing date | |
| ABRDN ETFS | 003261203 | BBRG ALL COMMDY | 542 | $13,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 2,515 | $13,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 481 | $13,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 12,875 | $13,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 7,048 | $13,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 6,925 | $13,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 464 | $13,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 2,169 | $13,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 8,354 | $13,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,391 | $13,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 8,845 | $13,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,176 | $13,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 3,203 | $13,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 3,614 | $13,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 3,974 | $13,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 6,823 | $13,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 16,159 | $13,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 2,092 | $13,000 | thousands by filing date | |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 23,636 | $13,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 2,795 | $13,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,050 | $13,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 27,891 | $13,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C300 | COM NEW | 56,749 | $13,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 100,000 | $13,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 3,581 | $13,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 421 | $13,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 10,111 | $13,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 39,776 | $13,000 | thousands by filing date | |
| VANTAGE ENERGY ACQUISITION | 92211L204 | UNIT 04/12/2024 | 1,267 | $13,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 1,300 | $13,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 9,346 | $13,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 932 | $13,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 500 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 600 | $13,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A206 | UNIT 02/28/2021 | 1,258 | $13,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 3,484 | $13,000 | thousands by filing date | |
| REALITY | 75605A603 | SHS ETF TR DIVCON DIV ETF | 531 | $13,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 29,007 | $13,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,863 | $12,000 | thousands by filing date | |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 768 | $12,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 400 | $12,000 | thousands by filing date | put |
| ADECOAGRO S A | L00849106 | COM | 1,729 | $12,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 1,014 | $12,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,831 | $12,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 486 | $12,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 3,341 | $12,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 871 | $12,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 2,311 | $12,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 675 | $12,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 2,782 | $12,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 2,315 | $12,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 6,671 | $12,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 10,297 | $12,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 23,383 | $12,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 14,149 | $12,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 737 | $12,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 12,294 | $12,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $12,000 | thousands by filing date | principal |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,605 | $12,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 897 | $12,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 826 | $12,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,065 | $12,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 875 | $12,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 2,180 | $12,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 4,196 | $12,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES LTD | 57778L103 | COM | 1,017 | $12,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 14,000 | $12,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 8,516 | $12,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 857 | $12,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 8,736 | $12,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 18,364 | $12,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 9,724 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 559 | $12,000 | thousands by filing date | |
| DOGNESS INTERNATIONAL CORP | G2788T103 | COM CL A | 3,061 | $12,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 3,603 | $12,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 21,711 | $12,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 17,344 | $12,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 3,689 | $12,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784114 | UNIT 99/99/9999 | 1,200 | $12,000 | thousands by filing date | |
| BK TECHNOLOGIES INC | 09180A100 | COM | 3,088 | $12,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC | 85855A302 | COM | 13,431 | $12,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 578 | $12,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E605 | MKT HLDGS I VELCTYSHS AUDUSD | 400 | $12,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 1,089 | $12,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 49,029 | $12,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N128 | UNIT 08/21/2022 | 1,150 | $12,000 | thousands by filing date | |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 4,041 | $12,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950111 | UNIT 08/15/2023 | 1,200 | $12,000 | thousands by filing date | |
| TOUGHBUILT INDUSTRIES INC | 89157G306 | UNIT 10/10/20233 | 2,827 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 500 | $12,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 22,601 | $11,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 4,933 | $11,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 645 | $11,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 1,132 | $11,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 8,812 | $11,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 3,030 | $11,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 6,347 | $11,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 5,490 | $11,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 22,815 | $11,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 13,781 | $11,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 2,212 | $11,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 447 | $11,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 1,059 | $11,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 2,232 | $11,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 2,397 | $11,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 3,753 | $11,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 26,146 | $11,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 48,626 | $11,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 10,868 | $11,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 7,314 | $11,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 11,141 | $11,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 11,819 | $11,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 8,803 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 738 | $11,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 6,072 | $11,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 5,356 | $11,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 19,431 | $11,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,065 | $11,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 1,350 | $11,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 1,696 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 479 | $11,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 10,505 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 334 | $11,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 1,611 | $11,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 13,890 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 833 | $11,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 2,362 | $11,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 947 | $11,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 2,345 | $11,000 | thousands by filing date | |
| COMMAND CENTER INC | 200497204 | COM NEW | 2,634 | $11,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 1,066 | $11,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 1,008 | $11,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 31,318 | $11,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J759 | US LRG CP OPTM | 404 | $11,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 16,015 | $10,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 1,100 | $10,000 | thousands by filing date | call |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 218 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 181 | $10,000 | thousands by filing date | |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 913 | $10,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 919 | $10,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 898 | $10,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 398 | $10,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 681 | $10,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 600 | $10,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,160 | $10,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P645 | FRANKLIN FTSE | 500 | $10,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 3,412 | $10,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 559 | $10,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 14,507 | $10,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 828 | $10,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 940 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 326 | $10,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 505 | $10,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 7,447 | $10,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,429 | $10,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 5,229 | $10,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 6,605 | $10,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 9,049 | $10,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 4,791 | $10,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 10,332 | $10,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 14,718 | $10,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 7,915 | $10,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 735 | $10,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 13,257 | $10,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 10,864 | $10,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 2,708 | $10,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 10,178 | $10,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 400 | $10,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ALLEGRO MERGER CORP | 01749N301 | UNIT 12/31/2023 | 931 | $10,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y800 | COM | 11,572 | $10,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 8,000 | $10,000 | thousands by filing date | principal |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 22,610 | $10,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076100 | COM CLASS A | 1,000 | $10,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 539 | $10,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 5,453 | $10,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 11,079 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K299 | LTN AM BL 3X NEW | 524 | $10,000 | thousands by filing date | |
| DPW HLDGS INC | 26140E105 | COM | 93,647 | $10,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 5,038 | $10,000 | thousands by filing date | |
| FQF TR AGFIQ | 351680806 | HEDGED DIV | 443 | $10,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 185 | $9,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 247 | $9,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 551 | $9,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,905 | $9,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 2,797 | $9,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 2,313 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 261 | $9,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 3,516 | $9,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 3,888 | $9,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 1,113 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P603 | CMN | 381 | $9,000 | thousands by filing date | |
| VANECK LONG/FLAT TREND ETF | 92189F148 | LONG/FLAT TREND | 385 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 198 | $9,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,334 | $9,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 1,166 | $9,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 456 | $9,000 | thousands by filing date | |
| ALLIQUA BIOMEDICAL INC | 019621309 | COMMON STOCK | 4,880 | $9,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 12,562 | $9,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 9,140 | $9,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 448 | $9,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,000 | $9,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 2,672 | $9,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 5,466 | $9,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 6,683 | $9,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 5,751 | $9,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 2,043 | $9,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 7,538 | $9,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 1,163 | $9,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 32,068 | $9,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $9,000 | thousands by filing date | principal |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 82,761 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 261 | $9,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 3,994 | $9,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J200 | COM | 3,893 | $9,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 10,152 | $9,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 12,728 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 5,696 | $9,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 10,268 | $9,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 162 | $9,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A408 | mc | 712 | $9,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 375 | $9,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 4,130 | $9,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 236 | $9,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L100 | US EQT CUM 2027 | 814 | $9,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 101,911 | $9,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC | 29273B112 | *W EXP 05/08/202 | 17,150 | $9,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 34,221 | $9,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 51,343 | $9,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 5,000 | $9,000 | thousands by filing date | principal |
| METAURUS EQUITY COMPONENT TR | 59140L209 | US EQT EX 2027 | 185 | $9,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 900 | $9,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 850 | $9,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CO | G3165V117 | UNIT 10/04/2023 | 840 | $9,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 330 | $9,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784101 | SPONSORED ADR | 1,379 | $9,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 8,828 | $9,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W202 | COM NEW | 32,587 | $9,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 900 | $9,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 7,246 | $9,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C690 | RUSL 1000 SIZE | 400 | $9,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 825 | $8,000 | thousands by filing date | |
| TORM PLC SHS CL A | G89479102 | Stock | 1,378 | $8,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,923 | $8,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 1,292 | $8,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 600 | $8,000 | thousands by filing date | put |
| MICROVISION INC DEL | 594960304 | COM NEW | 13,745 | $8,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072307 | US QUALITY GROW | 250 | $8,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1,500 | $8,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 612 | $8,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 1,167 | $8,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 2,085 | $8,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 199 | $8,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 346 | $8,000 | thousands by filing date | |
| JERASH HLDGS US INC | 47632P101 | CMN | 1,232 | $8,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 3,314 | $8,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 6,531 | $8,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 10,540 | $8,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 3,040 | $8,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 3,317 | $8,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 600 | $8,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 424 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 170 | $8,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 1,546 | $8,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 91,001 | $8,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,179 | $8,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 9,286 | $8,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,332 | $8,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 768 | $8,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 550 | $8,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 4,597 | $8,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 103,536 | $8,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 260 | $8,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 3,000 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,315 | $8,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 288 | $8,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 1,527 | $8,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 1,985 | $8,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 7,859 | $8,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 41,013 | $8,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 18,921 | $8,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 10,686 | $8,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 3,118 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 354 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 431 | $8,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 26,715 | $8,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 3,272 | $8,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 226 | $8,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 5,592 | $8,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 6,339 | $8,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 556 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 179 | $8,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 46,700 | $8,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 3,552 | $8,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 8,000 | $8,000 | thousands by filing date | principal |
| CHINA INTERNET NATIONWIDE FI | G2120A101 | SHS | 9,124 | $8,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 5,331 | $8,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 2,217 | $8,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 6,361 | $8,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 6,891 | $8,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E464 | VELCTYSHS GBPUSD | 260 | $8,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 646 | $8,000 | thousands by filing date | |
| DD3 ACQUISITION CORP | G2692M129 | UNIT 10/12/2023 | 798 | $8,000 | thousands by filing date | |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 684 | $7,000 | thousands by filing date | |
| ELASTIC N V ORD SHS | N14506104 | Stock | 100 | $7,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 100 | $7,000 | thousands by filing date | put |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 1,200 | $7,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 480 | $7,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 2 | $7,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 1,000 | $7,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 4,759 | $7,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 2,695 | $7,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 1,310 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 286 | $7,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 2,869 | $7,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 1,152 | $7,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 3,400 | $7,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 5,101 | $7,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 740 | $7,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 4,048 | $7,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,168 | $7,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 500 | $7,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 2,625 | $7,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 4,956 | $7,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,000 | $7,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 6,171 | $7,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 296 | $7,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 6,798 | $7,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 3,146 | $7,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 3,000 | $7,000 | thousands by filing date | principal |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 1,013 | $7,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 3,475 | $7,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 4,505 | $7,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 3,030 | $7,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 5,000 | $7,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 8,000 | $7,000 | thousands by filing date | principal |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 1,953 | $7,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,332 | $7,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 32,376 | $7,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 17,639 | $7,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 6,082 | $7,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 520 | $7,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 295 | $7,000 | thousands by filing date | |
| ETRACS CMCI SILVER TR ETN | 902641794 | CMN | 735 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 1,702 | $7,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 7,483 | $7,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $7,000 | thousands by filing date | principal |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 258 | $7,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 577 | $7,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 37,529 | $7,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS CORP | 284849114 | W EXP 08/03/202 | 16,118 | $7,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 2,222 | $7,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 334 | $7,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 11,635 | $7,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 2,010 | $7,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 18,447 | $7,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 4,372 | $7,000 | thousands by filing date | |
| PUHUI WEALTH INVT MGMT CO LT | G7306H101 | SHS | 1,100 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A495 | VOLSHARES LARG | 297 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 246 | $7,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 51,717 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 141 | $7,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 9,551 | $7,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R129 | *W EXP 99/99/999 | 9,800 | $7,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 2,290 | $7,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R114 | UNIT 06/21/2023 | 650 | $7,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 10,478 | $7,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 12,727 | $7,000 | thousands by filing date | |
| MYND ANALYTICS INC | 62857N202 | COM NEW | 9,008 | $7,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 35,029 | $7,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 16,150 | $7,000 | thousands by filing date | |
| INVESCO CURNCYSHS SWEDSH KRO | 46138V109 | SWEDISH KRONA | 67 | $7,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 7,000 | $7,000 | thousands by filing date | principal |
| SYSCOCORP | 871829107 | COM | 100 | $6,000 | thousands by filing date | call |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 134 | $6,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,007 | $6,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 350 | $6,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 2,962 | $6,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 393 | $6,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 4,249 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y609 | CMN | 257 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 314 | $6,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 300 | $6,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 10,900 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A145 | PET CARE ETF | 166 | $6,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 1,076 | $6,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 3,164 | $6,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 3,418 | $6,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 723 | $6,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 9,568 | $6,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 1,676 | $6,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 100 | $6,000 | thousands by filing date | put |
| Jason Industries Inc | 471172106 | COMMON STOCK | 4,060 | $6,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 600 | $6,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 3,367 | $6,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 1,930 | $6,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 1,256 | $6,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 5,198 | $6,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 3,141 | $6,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 2,001 | $6,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 2,488 | $6,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 12,867 | $6,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 1,182 | $6,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 13,832 | $6,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 3,538 | $6,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 649 | $6,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 225 | $6,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 644 | $6,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 2,317 | $6,000 | 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 |