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 |
|---|---|---|---|---|---|---|
| WESTWATER RES INC | 961684107 | COM | 40,067 | $6,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 6,624 | $6,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 3,062 | $6,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 6,950 | $6,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 5,981 | $6,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 200 | $6,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,401 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P751 | FTSE ITALY ETF | 299 | $6,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 316 | $6,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 800 | $6,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 866 | $6,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 4,970 | $6,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 3,214 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A461 | AI PWD INTL EQTY | 291 | $6,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 10,169 | $6,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 436 | $6,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 2,318 | $6,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 3,827 | $6,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 9,000 | $6,000 | thousands by filing date | |
| HESS CORP | 42809H404 | DEP PDF SR A | 116 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 194 | $6,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 615 | $6,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392109 | COM | 31,021 | $6,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 13,935 | $6,000 | thousands by filing date | |
| NOVUME SOLUTIONS INC | 67012D106 | COM | 8,699 | $6,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 823 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A186 | ULTRPRO SHRT NEW | 566 | $6,000 | thousands by filing date | |
| ASV HLDGS INC | 00215L104 | COM | 2,859 | $6,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E889 | PROSPOTS SPONR | 275 | $6,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 6,000 | $6,000 | thousands by filing date | principal |
| OPPENHEIMER ETF TR | 68386C658 | RUSL 1000 VALU | 250 | $6,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS LTD | M1492T105 | SHS | 1,318 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 100 | $5,000 | thousands by filing date | put |
| ETF SER SOLUTIONS | 26922A420 | DEFIA QUANT ETF | 255 | $5,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 972 | $5,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 2,329 | $5,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 1,958 | $5,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 2,658 | $5,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 608 | $5,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 1,949 | $5,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 4,755 | $5,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 2,200 | $5,000 | thousands by filing date | put |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 1,226 | $5,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 3,483 | $5,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 642 | $5,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 800 | $5,000 | thousands by filing date | |
| Yogaworks, Inc. | 986005106 | com | 10,700 | $5,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 1,570 | $5,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 2,967 | $5,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 2,031 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 200 | $5,000 | thousands by filing date | |
| X FINL SPONSORED ADS | 98372W103 | ADR | 1,259 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 5,000 | $5,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| IDEANOMICS INC | 45166V106 | COM | 3,935 | $5,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 938 | $5,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 273 | $5,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 4,040 | $5,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 864 | $5,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,023 | $5,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 6,496 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 2,093 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 227 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 300 | $5,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 7,731 | $5,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,690 | $5,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 2,800 | $5,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 19,242 | $5,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 469 | $5,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 4,350 | $5,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $5,000 | thousands by filing date | principal |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 848 | $5,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P110 | SHS NEW | 5,397 | $5,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 6,147 | $5,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 883 | $5,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 3,221 | $5,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 8,093 | $5,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 2,950 | $5,000 | thousands by filing date | |
| PLANET GREEN HLDGS CORP | 72703U102 | COM | 2,093 | $5,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 5,700 | $5,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 4,027 | $5,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 151 | $5,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 423 | $5,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 948 | $5,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 2,740 | $5,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 5,898 | $5,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 2,903 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E653 | DLY EUR STX 3X | 385 | $5,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 2,761 | $5,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 5,000 | $5,000 | thousands by filing date | principal |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 4,789 | $5,000 | thousands by filing date | |
| SIRIUS INTERNATIONAL INSURAN COM | G8196D101 | Stock | 364 | $5,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 5,000 | $5,000 | thousands by filing date | principal |
| EDISON NATION INC | 28103E106 | COM | 1,030 | $5,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 3,482 | $5,000 | thousands by filing date | |
| CAMBER ENERGY INC | 13200M300 | COM NEW | 3,975 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90270L354 | SER B LKD 46 | 190 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D424 | 2XLEVE ETRACS WF | 390 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E828 | VELCTY 1X ETN 47 | 390 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 196 | $5,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 7,772 | $5,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 5,854 | $5,000 | thousands by filing date | |
| EDTECHX HLDGS ACQUISITION CO | 28138X202 | UNIT 12/31/2025 | 500 | $5,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 2,824 | $5,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 11,500 | $5,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 19,419 | $5,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 15,570 | $5,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $5,000 | thousands by filing date | principal |
| DBX ETF TR | 233051465 | XTRCK BRCLY INTL | 110 | $5,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E109 | COM | 500 | $5,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 151 | $4,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 973 | $4,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 3,808 | $4,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 273 | $4,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 1,323 | $4,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 2,605 | $4,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 326 | $4,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 4,078 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 200 | $4,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,000 | $4,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 387 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 102 | $4,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 18,328 | $4,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 1,445 | $4,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 4,475 | $4,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 2,739 | $4,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 11,241 | $4,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 577 | $4,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 210 | $4,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,783 | $4,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 541 | $4,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 5,120 | $4,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 1,268 | $4,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 3,000 | $4,000 | thousands by filing date | principal |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 698 | $4,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 16,661 | $4,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 973 | $4,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 6,689 | $4,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 10,054 | $4,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 4,658 | $4,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 8,354 | $4,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641810 | CMCI GOLD ETN | 222 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 76 | $4,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 15,260 | $4,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 1,678 | $4,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 6,000 | $4,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 7,036 | $4,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 1,024 | $4,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 4,318 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 69 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 491 | $4,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 5,589 | $4,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 2,141 | $4,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 573 | $4,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 13,100 | $4,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 182 | $4,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 5,030 | $4,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 7,736 | $4,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 2,144 | $4,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 8,513 | $4,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F104 | COM | 25,226 | $4,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| RESONANT INC | 76118L102 | COM | 2,800 | $4,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 10,000 | $4,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 2,012 | $4,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 2,453 | $4,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 7,492 | $4,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 495 | $4,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 2,798 | $4,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 876 | $4,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 13,676 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 467 | $4,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXCHA LIQ $12.06432/SH 6/26/23 | 46090A309 | LIQ $12.06432/SH 6/26/23 | 352 | $4,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 4,499 | $4,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 17,483 | $4,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 3,066 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051564 | XTRCK EURZON EQT | 205 | $4,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 8,268 | $4,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 4,752 | $4,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 5,000 | $4,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| ONE HORIZON GROUP INC | 68235H304 | COM PAR | 42,078 | $4,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 27,554 | $4,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 2,966 | $4,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $4,000 | thousands by filing date | principal |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 4,480 | $4,000 | thousands by filing date | |
| OPPENHEIMER ETF TR RUSL 1000 MOMT | 68386C682 | CEF | 186 | $4,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 4,151 | $4,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 159 | $4,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E233 | VELCTYSHS USDCHF | 200 | $4,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 174 | $4,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 24,997 | $4,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 2,000 | $4,000 | thousands by filing date | principal |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 22,887 | $4,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 5,245 | $4,000 | thousands by filing date | |
| SSLJ COM LIMITED | G8406F102 | SHS CL A | 12,110 | $4,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156119 | SHS NEW | 4,916 | $4,000 | thousands by filing date | |
| BISON CAP ACQUISITION CORP | G1142P104 | ORD SHS | 400 | $4,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 224 | $4,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J113 | *W EXP 09/28/202 | 13,971 | $4,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 2,000 | $4,000 | thousands by filing date | principal |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 52 | $3,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 300 | $3,000 | thousands by filing date | put |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 482 | $3,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,783 | $3,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 534 | $3,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 1,566 | $3,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 5,227 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A321 | DISTILLATE US | 150 | $3,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 368 | $3,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 100 | $3,000 | thousands by filing date | put |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 1,887 | $3,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,375 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $3,000 | thousands by filing date | principal |
| MAYS J W INC | 578473100 | COM | 90 | $3,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 3,107 | $3,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 921 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 47 | $3,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 229 | $3,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 57 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 200 | $3,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 2,466 | $3,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 368 | $3,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 898 | $3,000 | thousands by filing date | |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 185,582 | $3,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 1,402 | $3,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,551 | $3,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 1,820 | $3,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 195 | $3,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,470 | $3,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 4,000 | $3,000 | thousands by filing date | principal |
| AMYRIS INC | 03236M200 | COM NEW | 853 | $3,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 4,818 | $3,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,008 | $3,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 5,639 | $3,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 878 | $3,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 8,989 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 75 | $3,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 2,726 | $3,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 373 | $3,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 140 | $3,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 825 | $3,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 1,036 | $3,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 3,863 | $3,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 3,187 | $3,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 1,431 | $3,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 618 | $3,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 4,053 | $3,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 1,311 | $3,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 1,200 | $3,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 4,329 | $3,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 2,039 | $3,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 1,312 | $3,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 1,639 | $3,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 515 | $3,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931602 | COM NEW | 2,707 | $3,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 2,053 | $3,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 4,198 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 101 | $3,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A128 | *W EXP 10/25/202 | 4,300 | $3,000 | thousands by filing date | |
| JMU LTD | 46647L204 | SPONSORED ADS | 3,747 | $3,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 510 | $3,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N114 | *W EXP 05/30/202 | 6,200 | $3,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 4,540 | $3,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 3,637 | $3,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 3,362 | $3,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E654 | MKT HLDGS I VELCTYSHS JPYUSD | 150 | $3,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 2,000 | $3,000 | thousands by filing date | principal |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 13,640 | $3,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 2,592 | $3,000 | thousands by filing date | |
| ALTA MESA RES INC 3 | 02133L117 | COM | 38,719 | $3,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 1,145 | $3,000 | thousands by filing date | |
| USAA ETF TR | 90291F402 | MSCI EMRG MKTS | 71 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 140 | $3,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 3,000 | $3,000 | thousands by filing date | principal |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 301 | $3,000 | thousands by filing date | |
| AURIS MED HLDG AG | H0381L104 | COM | 7,217 | $3,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 11,980 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 55 | $2,000 | thousands by filing date | |
| CERIDIAN HCM HLDG INC | 15677J108 | COM | 54 | $2,000 | thousands by filing date | |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 132 | $2,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 237 | $2,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 72 | $2,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 751 | $2,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 740 | $2,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 300 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E495 | PURBTA 0 5 YR | 75 | $2,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 3,170 | $2,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 126 | $2,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 90 | $2,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 200 | $2,000 | thousands by filing date | |
| SPDR SER TR | 78468R689 | S&P KENSHO SMART | 93 | $2,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 1,724 | $2,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 104 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 39 | $2,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $2,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 93 | $2,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 2,166 | $2,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 378 | $2,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 98 | $2,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 300 | $2,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 2,000 | $2,000 | thousands by filing date | principal |
| TRICIDA INC | 89610F101 | COM | 96 | $2,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 1,000 | $2,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 283 | $2,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 1,924 | $2,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 2,030 | $2,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 1,164 | $2,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 5,900 | $2,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 1,000 | $2,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 865 | $2,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 1,464 | $2,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 3,794 | $2,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 3,460 | $2,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 1,764 | $2,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,844 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 187 | $2,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 2,409 | $2,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 2,068 | $2,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 75 | $2,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 1,526 | $2,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,480 | $2,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 1,800 | $2,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 7,637 | $2,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 1,087 | $2,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 1,547 | $2,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| DROPBOX INC - CLASS A | G4027R104 | COM | 263 | $2,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A114 | *W EXP 07/31/202 | 4,081 | $2,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527117 | *W EXP 06/27/202 | 4,263 | $2,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E677 | GLOBAL GLD PREC | 142 | $2,000 | thousands by filing date | |
| ETF MANAGER GROUP COMMODITY | 26923H101 | SIT RISING RTE | 92 | $2,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 2,786 | $2,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 1,061 | $2,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827128 | CL A | 200 | $2,000 | thousands by filing date | |
| PLATINUM EAGLE ACQUISITIN CO | G7126L126 | UNIT 01/09/2023 | 165 | $2,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 2,000 | $2,000 | thousands by filing date | principal |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 358 | $2,000 | thousands by filing date | |
| NEMAURA MED INC | 640442109 | COM | 2,583 | $2,000 | thousands by filing date | |
| NEOVASC INC | 64065J205 | COM NEW | 3,141 | $2,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A307 | COM PAR | 855 | $2,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 3,089 | $2,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482111 | *W EXP 12/01/202 | 5,100 | $2,000 | thousands by filing date | |
| Tottenham Acquisition I Limited | G8959N106 | SHS | 200 | $2,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 610 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347Y805 | ETF | 31 | $2,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 1,085 | $2,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C864 | EMERGING MKT | 70 | $2,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N122 | *W EXP 06/08/202 | 8,917 | $2,000 | thousands by filing date | |
| RENMIN TIANLI GROUP INC | G7500A100 | SHS | 2,028 | $2,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F108 | SHS | 200 | $2,000 | thousands by filing date | |
| SAFE T GROUP LTD | 78643B302 | SPONSORED ADS | 507 | $2,000 | thousands by filing date | |
| MAGNEGAS APPLIED TECHNLGY SO | 55939M101 | COM | 8,101 | $2,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 2,160 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33739Q606 | HEITMAN GLOBAL | 112 | $2,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P129 | RIGHT 99/99/9999 | 8,550 | $2,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T290 | XLNKS AMLP ETN36 | 158 | $2,000 | thousands by filing date | |
| MERCANTIL BK HLDG CORP | 58734F404 | CL B NEW | 230 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y816 | BALANCED INCOME | 71 | $2,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 1,998 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A735 | SERENITYSHS IM | 64 | $2,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q508 | COM NEW | 4,289 | $2,000 | thousands by filing date | |
| ATTIS INDS INC | 049836109 | COM | 12,106 | $2,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y115 | *W EXP 12/24/201 | 538 | $2,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760128 | *W EXP 12/05/202 | 1,700 | $2,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 68 | $2,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 149 | $1,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 670 | $1,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 40 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 409 | $1,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 631 | $1,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 1,118 | $1,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 152 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 49 | $1,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 100 | $1,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F130 | REAL ASSETS ETF | 60 | $1,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 128 | $1,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 100 | $1,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 374 | $1,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 151 | $1,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 43 | $1,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 143 | $1,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 138 | $1,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 281 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 54 | $1,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 980 | $1,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 158 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 30 | $1,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 684 | $1,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 878 | $1,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 44 | $1,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 4,868 | $1,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 120 | $1,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 590 | $1,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 35 | $1,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 812 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G848 | VIRTUS WMC INTNL | 42 | $1,000 | thousands by filing date | |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 319 | $1,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 47 | $1,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 948 | $1,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,046 | $1,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 665 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 959 | $1,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 400 | $1,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 400 | $1,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 9,900 | $1,000 | thousands by filing date | call |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 291 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| PC TEL INC | 69325Q105 | COM | 329 | $1,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 230 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 428 | $1,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| GULF RESOURCES INC | 40251W309 | COM | 1,316 | $1,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 1,000 | $1,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 9,676 | $1,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 901 | $1,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 1,000 | $1,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 2,804 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K833 | MTL SHRT ETN38 | 30 | $1,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 132 | $1,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 1,139 | $1,000 | thousands by filing date | |
| PINTEC TECHNOLOGY HLDGS LTD SPONSORED ADS | 72352G107 | ADR | 125 | $1,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 237 | $1,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 1,516 | $1,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 2,580 | $1,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 88 | $1,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 175 | $1,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 2,250 | $1,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 600 | $1,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468203 | COM NEW | 976 | $1,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 935 | $1,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 54 | $1,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 376 | $1,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F115 | *W EXP 08/21/202 | 1,150 | $1,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 438 | $1,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 841 | $1,000 | thousands by filing date | |
| CODE CHAIN NEW CONTINENT LTD COM | 87266C109 | Stock | 1,086 | $1,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,000 | $1,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 12 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 40 | $1,000 | thousands by filing date | |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 3,305 | $1,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760102 | COM CL A | 100 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E802 | DLY RGNAL BKS 3X | 25 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 64 | $1,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 2,277 | $1,000 | thousands by filing date | |
| ALLIANCE MMA INC | 018626101 | COM | 6,187 | $1,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 2,043 | $1,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 965 | $1,000 | thousands by filing date | |
| NAVIOS MARITIME CHG CONTAINERS LP UNIT REPSTG LP INT | Y62151108 | COM UNIT RP LP | 262 | $1,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 383 | $1,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 1,200 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 3,200 | $1,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 360 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A203 | UNIT 01/15/2024 | 112 | $1,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 114 | $1,000 | thousands by filing date | |
| Sensus Healthcare, Inc @6.75 6 | 81728J117 | warrants | 1,015 | $1,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 1,203 | $1,000 | thousands by filing date | |
| MOXIAN INC | 624697207 | COM NEW | 2,400 | $1,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G854 | ZACKS INTL MLT | 66 | $1,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 10,407 | $1,000 | thousands by filing date | |
| CONCRETE PUMPING HLDGS INC | 206704116 | *W EXP 08/01/202 | 700 | $1,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F116 | *W EXP 03/23/202 | 10,400 | $1,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F132 | RIGHT 99/99/9999 | 3,200 | $1,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 20,287 | $1,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 500 | $1,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 1,966 | $1,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 27,755 | $1,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T107 | COM | 1,500 | $1,000 | thousands by filing date | |
| REALITY | 75605A801 | SHS ETF TR NASDAQ NEXGEN | 79 | $1,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 837 | $1,000 | thousands by filing date | |
| REALM THERAPEUTICS PLC | 75606L103 | SPONSORED ADS | 549 | $1,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505780 | BERNSTEIN GBL | 24 | $1,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A131 | RIGHT 12/22/2019 | 1,600 | $1,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E204 | UNIT 07/27/2022 | 100 | $1,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C765 | GLOBAL REV | 50 | $1,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 1,176 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EURODRY LTD | Y23508107 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 1,159 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LANTRONIX INC | 516548203 | COMMON STOCK | 78 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRO DEX INC | 74265M205 | COMMON STOCK | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 6,900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G441 | ESG ADVNCD HY BD | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANKLIN TEMPLETON ETF TR | 35473P843 | CMN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |