13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-14, with 7,786 holding rows worth $242,068,153,000.
- Accession
- 0000950123-19-004687
- Filer
- CIK 1610520
- Filed
- 2019-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A combination report, 12,989 entries on the cover page, a total value of $242,068,153,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $242,068,239,000 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 |
|---|---|---|---|---|---|---|
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 1,149 | $28,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 1,023 | $28,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 2,168 | $28,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q746 | USD EMRNG MKT | 587 | $28,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 3,842 | $28,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 2,224 | $28,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 1,227 | $28,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092725 | INT HG DIV ETF | 1,367 | $28,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 922 | $28,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,146 | $28,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,192 | $28,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 9,000 | $28,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 1,137 | $28,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 12,010 | $28,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 1,072 | $28,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 9,579 | $28,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 1,576 | $28,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 850 | $28,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 4,765 | $28,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 6,855 | $28,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 2,143 | $28,000 | thousands by filing date | |
| GOLDMAN SACHS PHYSICAL GOLD ETF | 715426102 | UNIT | 2,151 | $28,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 2,305 | $28,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E479 | PURBTA FTSE EM | 1,168 | $28,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 2,913 | $28,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 1,574 | $28,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 1,028 | $28,000 | thousands by filing date | |
| iShares Future AI & Tech ETF | 46435U556 | SHS | 1,110 | $27,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 2,142 | $27,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 554 | $27,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 3,845 | $27,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 335 | $27,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 2,975 | $27,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,088 | $27,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 834 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 728 | $27,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 3,749 | $27,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 595 | $27,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 4,608 | $27,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,641 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 1,451 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P456 | FUND | 667 | $27,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 639 | $27,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 4,826 | $27,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 1,570 | $27,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 26,564 | $27,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 1,040 | $27,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 6,365 | $27,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 11,000 | $27,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 753 | $27,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 6,736 | $27,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,554 | $27,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C203 | UNIT 99/99/9999 | 2,670 | $27,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 2,267 | $26,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 200 | $26,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,835 | $26,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 820 | $26,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 1,363 | $26,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 753 | $26,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 1,359 | $26,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,516 | $26,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 4,027 | $26,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 3,568 | $26,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 5,722 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 1,604 | $26,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 1,180 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 1,275 | $26,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 7,568 | $26,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 1,740 | $26,000 | thousands by filing date | |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 977 | $26,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 4,476 | $26,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 21,531 | $26,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 4,551 | $26,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 6,556 | $26,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 548 | $26,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 6,341 | $26,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,350 | $26,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 37,814 | $26,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 735 | $26,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 4,226 | $26,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 1,094 | $26,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 879 | $26,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q787 | CMN | 924 | $26,000 | thousands by filing date | |
| PHUNWARE INC | 71948P118 | *W EXP 12/26/202 | 15,504 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K810 | MD CP BEAR 3X NW | 2,233 | $26,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 490 | $26,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 163,131 | $26,000 | thousands by filing date | |
| SABAN CAP ACQUISITION CORP | 78516C205 | UNIT 99/99/9999 | 2,601 | $26,000 | thousands by filing date | |
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 1,256 | $26,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285201 | UNIT 12/30/2025 | 2,600 | $26,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 2,635 | $26,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D259 | NT AMZI 46 | 880 | $26,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X210 | MSCI CHINA ETF | 1,197 | $26,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 1,428 | $26,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 1,224 | $26,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505780 | BERNSTEIN GBL | 1,037 | $26,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 500 | $25,000 | thousands by filing date | call |
| DAKTRONICS INC | 234264109 | COM | 3,398 | $25,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 7,518 | $25,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 500 | $25,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 1,403 | $25,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 1,021 | $25,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 3,748 | $25,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 940 | $25,000 | thousands by filing date | |
| RHINEBECK BANCORP INC | 762093102 | COMMON STOCK | 2,102 | $25,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 4,000 | $25,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 1,022 | $25,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 2,092 | $25,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 1,805 | $25,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 41,186 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 737 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 879 | $25,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 2,961 | $25,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 28,453 | $25,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,728 | $25,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| SI FINL GROUP INC MD | 78425V104 | COM | 1,907 | $25,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 1,386 | $25,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 1,061 | $25,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 12,638 | $25,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 7,734 | $25,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 12,406 | $25,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 1,083 | $25,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 1,172 | $25,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 10,290 | $25,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A507 | MDRTLY CNSRTIV | 1,901 | $25,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 10,402 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| NET ELEMENT INC | 64111R300 | COM | 4,296 | $25,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 2,500 | $25,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 1,301 | $25,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H209 | UNIT 99/99/9999 | 2,500 | $25,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P209 | UNIT 03/07/2023 | 2,442 | $25,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 2,500 | $25,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 100 | $24,000 | thousands by filing date | call |
| ENDAVA PLC ADS | 29260V105 | ADR | 874 | $24,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 200 | $24,000 | thousands by filing date | put |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 1,870 | $24,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 489 | $24,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 1,714 | $24,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 945 | $24,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,299 | $24,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 6,040 | $24,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,140 | $24,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 5,470 | $24,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 831 | $24,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 2,152 | $24,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,244 | $24,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 756 | $24,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 4,125 | $24,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 5,652 | $24,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 1,333 | $24,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 6,286 | $24,000 | thousands by filing date | |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 2,356 | $24,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 1,000 | $24,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 2,343 | $24,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 1,274 | $24,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 889 | $24,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 759 | $24,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 2,485 | $24,000 | thousands by filing date | |
| WEIDAI LTD | 94861A108 | SPONS ADS | 2,074 | $24,000 | thousands by filing date | |
| CHURCHILL CAP CORP | 17142R202 | UNIT 99/99/9999 | 1,630 | $24,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F208 | UNIT 09/30/2025 | 2,330 | $24,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 4,758 | $24,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 972 | $24,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP III | 31811A309 | UNIT 12/01/2023 | 2,369 | $24,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 1,170 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 874 | $24,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E828 | VELCTY 1X ETN 47 | 3,265 | $24,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 3,408 | $24,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K349 | DLY NATRL GAS 3X | 3,094 | $24,000 | thousands by filing date | |
| WCF BANCORP INC | 92940L103 | COM | 2,917 | $24,000 | thousands by filing date | |
| BOXWOOD MERGER CORP | 10319T200 | UNIT 11/26/2025 | 2,344 | $24,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 300 | $23,000 | thousands by filing date | put |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,845 | $23,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 658 | $23,000 | thousands by filing date | |
| FRANKLIN LIBERTY HIGH YIELD | 35473P629 | LIBERTY HI YLD | 901 | $23,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 1,182 | $23,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,328 | $23,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 861 | $23,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 1,483 | $23,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 671 | $23,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 1,159 | $23,000 | thousands by filing date | |
| TTEC HLDGS INC | 89854H102 | COM | 632 | $23,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 469 | $23,000 | thousands by filing date | |
| WORLDPAY INC | 981558109 | CL A | 200 | $23,000 | thousands by filing date | call |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 428 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 778 | $23,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 1,791 | $23,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 900 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 837 | $23,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 9,158 | $23,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 2,061 | $23,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 2,291 | $23,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 3,200 | $23,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,469 | $23,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 322 | $23,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 13,426 | $23,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 1,750 | $23,000 | thousands by filing date | |
| MDJM LTD | G59290109 | SHS | 6,683 | $23,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 2,080 | $23,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 4,785 | $23,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 2,679 | $23,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760110 | UNIT 99/99/9999 | 2,197 | $23,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076209 | UNIT 03/12/2025 | 2,263 | $23,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R200 | UNIT 01/07/2019 | 2,300 | $23,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | 61946M100 | COM CL A | 2,300 | $23,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,659 | $23,000 | thousands by filing date | |
| GREENLAND ACQUISITIN CORPORA | G40981139 | SHS | 2,300 | $23,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 250 | $22,000 | thousands by filing date | call |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 5,525 | $22,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 811 | $22,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 644 | $22,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 2,420 | $22,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 881 | $22,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 4,922 | $22,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 1,898 | $22,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 959 | $22,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 899 | $22,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 880 | $22,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,106 | $22,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 461 | $22,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 2,462 | $22,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 2,650 | $22,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 940 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347B557 | SP500 EX TECH | 409 | $22,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 543 | $22,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 17,554 | $22,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 2,217 | $22,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 6,501 | $22,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 1,591 | $22,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 2,809 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 320 | $22,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 822 | $22,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 2,897 | $22,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 3,369 | $22,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 37,654 | $22,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 3,169 | $22,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 3,565 | $22,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 685 | $22,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 8,949 | $22,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 24,741 | $22,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 4,000 | $22,000 | thousands by filing date | principal |
| INTL FCSTONE INC | 46116V105 | COM | 551 | $22,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 867 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 783 | $22,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 2,509 | $22,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 863 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 2,006 | $22,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,567 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 588 | $22,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 3,317 | $22,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 1,729 | $22,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 2,209 | $22,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872208 | UNIT 99/99/9999 | 2,105 | $22,000 | thousands by filing date | |
| MTECH ACQUISITION CORP | 55378W206 | UNIT 01/19/2023 | 2,073 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347B730 | ULSHRT TECH NEW | 2,220 | $22,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 1,194 | $22,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L205 | UNIT 05/11/2025 | 2,100 | $22,000 | thousands by filing date | |
| REALITY | 75605A603 | SHS ETF TR DIVCON DIV ETF | 902 | $22,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 5,759 | $21,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 4,108 | $21,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,645 | $21,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 50 | $21,000 | thousands by filing date | call |
| SPOK HLDGS INC COM | 84863T106 | Stock | 1,579 | $21,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 891 | $21,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 2,000 | $21,000 | thousands by filing date | call |
| STOCK YDS BANCORP INC | 861025104 | COM | 619 | $21,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 2,708 | $21,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 421 | $21,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 2,901 | $21,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 2,702 | $21,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 500 | $21,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 486 | $21,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 1,384 | $21,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,331 | $21,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 578 | $21,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 2,491 | $21,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 685 | $21,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 645 | $21,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 335 | $21,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 7,116 | $21,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 375 | $21,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 7,507 | $21,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 531 | $21,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 672 | $21,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 924 | $21,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 3,287 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 734 | $21,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 3,000 | $21,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,535 | $21,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E560 | LADERITE 0-5YR | 833 | $21,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 7,069 | $21,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 3,445 | $21,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 633 | $21,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 1,149 | $21,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 4,203 | $21,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 101,424 | $21,000 | thousands by filing date | |
| TRIDENT ACQUISITIONS CORP | 89615T205 | UNIT 05/09/2023 | 2,070 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 2,404 | $21,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 700 | $21,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 200 | $20,000 | thousands by filing date | call |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,313 | $20,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 7,291 | $20,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 820 | $20,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 1,494 | $20,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,269 | $20,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 816 | $20,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 13,740 | $20,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 4,320 | $20,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 7,688 | $20,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,750 | $20,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 601 | $20,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 847 | $20,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 3,212 | $20,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 2,483 | $20,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 636 | $20,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 1,955 | $20,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,434 | $20,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 3,233 | $20,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 969 | $20,000 | thousands by filing date | |
| HIGHEST PERFORMANCES HOLDINGS - ADR | 69373Y109 | COM | 3,008 | $20,000 | thousands by filing date | |
| CYREN LTD | M26895108 | SHS | 9,272 | $20,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 6,000 | $20,000 | thousands by filing date | |
| DROPBOX INC - CLASS A | G4027R104 | COM | 2,692 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 2,308 | $20,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F607 | EQUITYCOMPASS | 1,000 | $20,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 1,725 | $20,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $20,000 | thousands by filing date | principal |
| LF CAP ACQUISITION CORP | 50200K207 | UNIT 06/19/2025 | 1,950 | $20,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 1,164 | $20,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 3,036 | $20,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 25,229 | $20,000 | thousands by filing date | |
| EDTECHX HLDGS ACQUISITION CO | 28138X202 | UNIT 12/31/2025 | 1,913 | $20,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 1,491 | $19,000 | thousands by filing date | |
| MR COOPER GROUP INC | 62482R107 | COM | 2,006 | $19,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 2,354 | $19,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,094 | $19,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 811 | $19,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 7,349 | $19,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 6,089 | $19,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 2,300 | $19,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,493 | $19,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 2,164 | $19,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 14,166 | $19,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 5,471 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 325 | $19,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 751 | $19,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 4,322 | $19,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 393 | $19,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 842 | $19,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 2,643 | $19,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 1,651 | $19,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 2,505 | $19,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 1,216 | $19,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 7,316 | $19,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 5,311 | $19,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 5,361 | $19,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 3,452 | $19,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 904 | $19,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 1,759 | $19,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 1,292 | $19,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 1,662 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 1,125 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 609 | $19,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 2,642 | $19,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 2,983 | $19,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 12,235 | $19,000 | thousands by filing date | |
| CHEMOMAB THERAPEUTICS LTD SPONSORED ADS | 03280X102 | ADR | 2,735 | $19,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 3,000 | $19,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 535 | $19,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P107 | mc | 339 | $19,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,500 | $19,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N202 | UNIT 05/11/2023 | 1,804 | $19,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 33,249 | $19,000 | thousands by filing date | |
| INVESCO CURNCYSHS CHINESE RE | 46138X105 | CHINESE RENMIN | 258 | $19,000 | thousands by filing date | |
| CAMBRIA ETF TR CORE EQUITY | 132061854 | CEF | 710 | $19,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 939 | $19,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 1,900 | $19,000 | thousands by filing date | |
| 3PEA INTL INC | 88579C109 | COM | 2,430 | $19,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 200 | $18,000 | thousands by filing date | put |
| EGAIN CORP | 28225C806 | COM NEW | 1,705 | $18,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 480 | $18,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 570 | $18,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 610 | $18,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 969 | $18,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 1,300 | $18,000 | thousands by filing date | call |
| RIVERVIEW BANCORP INC | 769397100 | COM | 2,530 | $18,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 2,328 | $18,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 4,935 | $18,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 3,007 | $18,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 5,425 | $18,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 1,700 | $18,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,436 | $18,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,634 | $18,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 1,932 | $18,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 1,107 | $18,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 3,007 | $18,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 2,171 | $18,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,510 | $18,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 4,401 | $18,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,275 | $18,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,279 | $18,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 790 | $18,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 1,126 | $18,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 971 | $18,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772207 | SHS | 5,959 | $18,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 1,123 | $18,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F104 | COM | 52,593 | $18,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 21,463 | $18,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 5,008 | $18,000 | thousands by filing date | |
| TENZING ACQUISITION CORP | G8708A124 | UNIT 08/24/2024 | 1,800 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y355 | DLY DEV MKT BEAR | 1,339 | $18,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P702 | LIBRT INT OPPT | 661 | $18,000 | thousands by filing date | |
| JPMORGAN CHASE FINL CO LLC | 48129G703 | CUSHING MLP 37 | 1,010 | $18,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 20,788 | $17,000 | thousands by filing date | |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 375 | $17,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 2,625 | $17,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 1,464 | $17,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 2,698 | $17,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,793 | $17,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 335 | $17,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 983 | $17,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 2,479 | $17,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,316 | $17,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 653 | $17,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 3,358 | $17,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P884 | US MID CP MLTFCT | 573 | $17,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 2,318 | $17,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 449 | $17,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R108 | BBG COMMD K 1 | 695 | $17,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 1,594 | $17,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 2,982 | $17,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,649 | $17,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 997 | $17,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 20,711 | $17,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 612 | $17,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 861 | $17,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 1,076 | $17,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 27,226 | $17,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 2,984 | $17,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 1,745 | $17,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 25,315 | $17,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 5,729 | $17,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 125,482 | $17,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 4,520 | $17,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 734 | $17,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 1,109 | $17,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 2,204 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 1,223 | $17,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 23,455 | $17,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 15,548 | $17,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 4,086 | $17,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 8,391 | $17,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 3,231 | $17,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 862 | $17,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 2,504 | $17,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 1,327 | $17,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 787 | $17,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 1,797 | $17,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 2,130 | $17,000 | thousands by filing date | |
| VANTAGE ENERGY ACQUISITION | 92211L204 | UNIT 04/12/2024 | 1,667 | $17,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 749 | $17,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 5,696 | $17,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N206 | UNIT 04/30/2025 | 1,680 | $17,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754205 | UNIT 99/99/9999 | 1,690 | $17,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y706 | ULTRA BLOOMBERG | 825 | $17,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 422 | $17,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 354 | $17,000 | thousands by filing date | |
| CHARDAN HEALTHCARE ACQUISITI | 15957A207 | UNIT 12/13/2023 | 1,661 | $17,000 | thousands by filing date | |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 1,327 | $16,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 1,816 | $16,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 2,693 | $16,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 2,355 | $16,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 2,235 | $16,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 1,503 | $16,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 1,058 | $16,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 345 | $16,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 4,750 | $16,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 632 | $16,000 | thousands by filing date | |
| JERASH HLDGS US INC | 47632P101 | CMN | 2,209 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 269 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 503 | $16,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 1,992 | $16,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 2,654 | $16,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 250 | $16,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 2,720 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 666 | $16,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 7,946 | $16,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 1,839 | $16,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 1,900 | $16,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 385 | $16,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 6,958 | $16,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 2,917 | $16,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 1,000 | $16,000 | thousands by filing date | |
| PACER FDS TR | 69374H691 | mc | 575 | $16,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 1,759 | $16,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,043 | $16,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 3,173 | $16,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 7,447 | $16,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-004687 | this filing | 2019-05-14 | acceptance time not in the bulk data set |