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 |
|---|---|---|---|---|---|---|
| BARCLAYS BK PLC | 06746P480 | FUND | 302 | $16,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 8,197 | $16,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 4,324 | $16,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 1,941 | $16,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 10,334 | $16,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 5,242 | $16,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,000 | $16,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 2,699 | $16,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 1,623 | $16,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 4,628 | $16,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 3,469 | $16,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 751 | $16,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 1,137 | $16,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 1,315 | $16,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 30,818 | $16,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 2,855 | $16,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 3,000 | $16,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 10,000 | $16,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 692 | $16,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,600 | $16,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L121 | UNIT 99/99/9999 | 1,500 | $16,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 33,702 | $16,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260508 | COM NEW | 6,588 | $16,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 26,965 | $16,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 1,778 | $16,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505798 | BERNSTEIN US RSH | 603 | $16,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 584 | $15,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 3,111 | $15,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 771 | $15,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,037 | $15,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 2,038 | $15,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 873 | $15,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 265 | $15,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,253 | $15,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 13,028 | $15,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 3,639 | $15,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 1,846 | $15,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 3,138 | $15,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 613 | $15,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 1,370 | $15,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 17,143 | $15,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 1,756 | $15,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 15,230 | $15,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 11,898 | $15,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 748 | $15,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 7,537 | $15,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 6,328 | $15,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 1,146 | $15,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 10,962 | $15,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 635 | $15,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 897 | $15,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 13,733 | $15,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 10,075 | $15,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 1,855 | $15,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 5,097 | $15,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 8,388 | $15,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 3,339 | $15,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 36,697 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 526 | $15,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F577 | GEN DRUGS ETF | 660 | $15,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,400 | $15,000 | thousands by filing date | |
| ABILITY INC | G8789K124 | SHS | 8,981 | $15,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U605 | ORGANICS ETF | 558 | $15,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 4,067 | $15,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 8,966 | $15,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 1,951 | $15,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 24,809 | $15,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 15,000 | $15,000 | thousands by filing date | principal |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 1,205 | $15,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 1,669 | $15,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 5,991 | $15,000 | thousands by filing date | |
| MMTEC INC | G6181K106 | SHS | 3,174 | $15,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 77,032 | $15,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 11,044 | $15,000 | thousands by filing date | |
| CHINA SXT PHARMACEUTICALS IN | G2161P108 | ORD SHS | 2,211 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 600 | $15,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 12,377 | $15,000 | thousands by filing date | |
| TARONIS TECHNOLOGIES INC | 876214107 | COM | 23,034 | $15,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 1,069 | $14,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 504 | $14,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 13,124 | $14,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 2,193 | $14,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 909 | $14,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 1,643 | $14,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 4,644 | $14,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 553 | $14,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 7,794 | $14,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H591 | CMN | 504 | $14,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 4,000 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 885 | $14,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 1,096 | $14,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 792 | $14,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 12,875 | $14,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,202 | $14,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 675 | $14,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 485 | $14,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 2,014 | $14,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 2,303 | $14,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 634 | $14,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 6,897 | $14,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 2,109 | $14,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 1,366 | $14,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 2,000 | $14,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 3,374 | $14,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 7,133 | $14,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 3,517 | $14,000 | thousands by filing date | |
| ETRACS CMCI SILVER TR ETN | 902641794 | CMN | 735 | $14,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 1,000 | $14,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 3,479 | $14,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 389 | $14,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 5,787 | $14,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 8,661 | $14,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 1,268 | $14,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,538 | $14,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 531 | $14,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 7,791 | $14,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 31,039 | $14,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 3,809 | $14,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 2,599 | $14,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 5,757 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 661 | $14,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 5,759 | $14,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 500 | $14,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E848 | INSIGHTSHARES | 545 | $14,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A123 | UNIT 06/21/2023 | 1,330 | $14,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 512 | $13,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 60 | $13,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 4,368 | $13,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 3,874 | $13,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 128 | $13,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N691 | VICTORYSHS US | 427 | $13,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 4,424 | $13,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 900 | $13,000 | thousands by filing date | put |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 4,067 | $13,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 1,042 | $13,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 330 | $13,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,106 | $13,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 4,826 | $13,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 3,226 | $13,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E166 | ETRACS MNTHLY B | 622 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 259 | $13,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,324 | $13,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 1,947 | $13,000 | thousands by filing date | |
| ALLIQUA BIOMEDICAL INC | 019621309 | COMMON STOCK | 4,564 | $13,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 2,414 | $13,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,136 | $13,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 1,250 | $13,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 2,729 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P464 | FUND | 269 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P472 | FUND | 304 | $13,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 38,099 | $13,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 1,266 | $13,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 4,305 | $13,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 964 | $13,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 228 | $13,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 12,403 | $13,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 3,791 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 633 | $13,000 | thousands by filing date | |
| PACIFIC CITY FINANCIAL CORP | 69406T408 | COM NEW | 773 | $13,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,050 | $13,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 19,286 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 1,238 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 646 | $13,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 3,497 | $13,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 13,748 | $13,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 1,218 | $13,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 12,032 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 337 | $13,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q381 | BETABLDRS 1-5YR | 500 | $13,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,471 | $13,000 | thousands by filing date | |
| ARROW INVTS TR DOGS OF THE | 042765693 | CEF | 275 | $13,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 3,432 | $13,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E605 | MKT HLDGS I VELCTYSHS AUDUSD | 420 | $13,000 | thousands by filing date | |
| VIVALDI OPPORTUNITIES FD | 92853C207 | Equity | 901 | $13,000 | thousands by filing date | |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 226 | $13,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A206 | UNIT 02/28/2021 | 1,258 | $13,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 892 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P301 | MUNI HI INCM ETF | 230 | $12,000 | thousands by filing date | |
| TWIST BIOSCIENCE CORP | 90184D100 | COM | 500 | $12,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 642 | $12,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 100 | $12,000 | thousands by filing date | call |
| WINMARK CORP | 974250102 | COM | 62 | $12,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 278 | $12,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 349 | $12,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,899 | $12,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 397 | $12,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 298 | $12,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 636 | $12,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 5,727 | $12,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 3,426 | $12,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 2,527 | $12,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 3,396 | $12,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 293 | $12,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 1,000 | $12,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 1,539 | $12,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 713 | $12,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 2,562 | $12,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 4,558 | $12,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 5,851 | $12,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 2,470 | $12,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 4,787 | $12,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 565 | $12,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 4,240 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 662 | $12,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 11,117 | $12,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 13,996 | $12,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 279 | $12,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,790 | $12,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 5,817 | $12,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 484 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E438 | RUSL 1000 ENHD | 455 | $12,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 599 | $12,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 1,900 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 629 | $12,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 2,226 | $12,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 8,741 | $12,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 5,789 | $12,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 2,285 | $12,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 334 | $12,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 2,183 | $12,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 5,077 | $12,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 1,800 | $12,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784114 | UNIT 99/99/9999 | 1,200 | $12,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 9,000 | $12,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 1,625 | $12,000 | thousands by filing date | |
| THUNDER BRIDGE ACQUISITION L | G8857R118 | UNIT 01/01/2025 | 1,100 | $12,000 | thousands by filing date | |
| RENMIN TIANLI GROUP INC | G7500A100 | SHS | 5,974 | $12,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950111 | UNIT 08/15/2023 | 1,200 | $12,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 10,088 | $12,000 | thousands by filing date | |
| BLACK RIDGE ACQUISITION CORP | 09216T123 | RIGHT 07/10/2019 | 33,887 | $12,000 | thousands by filing date | |
| INVESCO CURNCYSHS SWEDSH KRO | 46138V109 | SWEDISH KRONA | 124 | $12,000 | thousands by filing date | |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 688 | $11,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 1,191 | $11,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 787 | $11,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 5,433 | $11,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 2,617 | $11,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 2,000 | $11,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,565 | $11,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,490 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 439 | $11,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 855 | $11,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 142 | $11,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 4,193 | $11,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,227 | $11,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 10,000 | $11,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 3,314 | $11,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 1,285 | $11,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 4,784 | $11,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 3,091 | $11,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 1,005 | $11,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 635 | $11,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 466 | $11,000 | thousands by filing date | |
| AXONICS INC | 05465P101 | COM | 473 | $11,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 26,636 | $11,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 16,506 | $11,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 2,415 | $11,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 396 | $11,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 800 | $11,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 3,215 | $11,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 741 | $11,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,510 | $11,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 9,287 | $11,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 3,651 | $11,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 9,586 | $11,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 3,764 | $11,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 620 | $11,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 1,922 | $11,000 | thousands by filing date | |
| REVIVA PHARMACEUTCLS HLDGS INC COM | G8708A116 | Stock | 1,100 | $11,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 4,665 | $11,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 12,546 | $11,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 203 | $11,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 7,663 | $11,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 587 | $11,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,065 | $11,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W204 | COM | 23,873 | $11,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 513 | $11,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 632 | $11,000 | thousands by filing date | |
| BIOFRONTERA AG ADR | 09075G105 | COM | 871 | $11,000 | thousands by filing date | |
| MEDIGUS LTD SPON ADS NEW | 58471G300 | ADR | 3,629 | $11,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 687 | $11,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P751 | FTSE ITALY ETF | 459 | $11,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 1,455 | $11,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 1,884 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745T368 | ETF | 300 | $11,000 | thousands by filing date | |
| FARMMI INC SHS NEW | G33277107 | Stock | 2,569 | $11,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 1,151 | $11,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 2,660 | $11,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 5,000 | $11,000 | thousands by filing date | principal |
| NEMAURA MED INC | 640442109 | COM | 10,464 | $11,000 | thousands by filing date | |
| NEOVASC INC | 64065J205 | COM NEW | 25,941 | $11,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L209 | US EQT EX 2027 | 185 | $11,000 | thousands by filing date | |
| Enterprise Federal Bancorp | 26952G107 | Common | 663 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 309 | $11,000 | thousands by filing date | |
| BISON CAP ACQUISITION CORP | G1142P104 | ORD SHS | 1,063 | $11,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 12,057 | $11,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C690 | RUSL 1000 SIZE | 400 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 494 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 194 | $10,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 18,983 | $10,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 571 | $10,000 | thousands by filing date | |
| SHOCKWAVE MED INC | 82489T104 | COM | 300 | $10,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 620 | $10,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 300 | $10,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 849 | $10,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 618 | $10,000 | thousands by filing date | |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 404 | $10,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 392 | $10,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 3,263 | $10,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 661 | $10,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 500 | $10,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 769 | $10,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 9,140 | $10,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P645 | FRANKLIN FTSE | 450 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 138 | $10,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,500 | $10,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 494 | $10,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 652 | $10,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,000 | $10,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 2,977 | $10,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 45,430 | $10,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 185 | $10,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 5,588 | $10,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 347 | $10,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,218 | $10,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 2,872 | $10,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $10,000 | thousands by filing date | principal |
| HOWARD BANCORP INC COM | 442496105 | COM | 676 | $10,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 38,471 | $10,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 6,844 | $10,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 2,545 | $10,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,500 | $10,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 3,834 | $10,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 3,678 | $10,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 3,935 | $10,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 2,045 | $10,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 1,924 | $10,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P110 | SHS NEW | 2,085 | $10,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 1,527 | $10,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 7,041 | $10,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 1,034 | $10,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 7,273 | $10,000 | thousands by filing date | |
| INSPIREMD INC | 45779A861 | COM PAR | 70,079 | $10,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 11,426 | $10,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 11,764 | $10,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 1,219 | $10,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 162 | $10,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 8,003 | $10,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N106 | COM | 6,567 | $10,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 400 | $10,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ALLEGRO MERGER CORP | 01749N301 | UNIT 12/31/2023 | 931 | $10,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,022 | $10,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 931 | $10,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 5,782 | $10,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 8,000 | $10,000 | thousands by filing date | principal |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 4,280 | $10,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| NEBULA ACQUISITION CORP | 629076100 | COM CLASS A | 1,000 | $10,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 10,652 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X222 | GBL MXC EQT FD | 338 | $10,000 | thousands by filing date | |
| MERCANTIL BK HLDG CORP | 58734F404 | CL B NEW | 800 | $10,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 500 | $9,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 614 | $9,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 318 | $9,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 6,181 | $9,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 1,085 | $9,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 200 | $9,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,211 | $9,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 280 | $9,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 13,598 | $9,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 452 | $9,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 128 | $9,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 123 | $9,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 1,833 | $9,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 1,209 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 141 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 449 | $9,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,066 | $9,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 2,308 | $9,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 367 | $9,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 4,292 | $9,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 659 | $9,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 6,760 | $9,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 7,232 | $9,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 484 | $9,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 9,078 | $9,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 5,825 | $9,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 524 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 415 | $9,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 4,467 | $9,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 5,549 | $9,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| S&W SEED COMPANY COM | 785135104 | COM | 3,462 | $9,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 1,166 | $9,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 19,823 | $9,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641810 | CMCI GOLD ETN | 267 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 300 | $9,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 1,208 | $9,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 4,482 | $9,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 4,858 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J692 | STRG EMERG ETF | 340 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 354 | $9,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 324 | $9,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 1,511 | $9,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 5,806 | $9,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 1,505 | $9,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 2,413 | $9,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 33,936 | $9,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 229 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 182 | $9,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 1,413 | $9,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 22,714 | $9,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 1,200 | $9,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y800 | COM | 10,966 | $9,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 850 | $9,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 9,951 | $9,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 900 | $9,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 862 | $9,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 900 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y840 | CB OE RUSSELL | 500 | $9,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,500 | $8,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 120 | $8,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 300 | $8,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 1,499 | $8,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 2,659 | $8,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 3,000 | $8,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1,500 | $8,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 2,313 | $8,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 1,452 | $8,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 2,182 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 286 | $8,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 1,756 | $8,000 | thousands by filing date | |
| INVESCO INVESTMENT GRADE DEFENSIVE ETF | 46139W502 | ETF | 306 | $8,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 447 | $8,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 633 | $8,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 621 | $8,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 2,660 | $8,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 3,119 | $8,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 500 | $8,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 1,509 | $8,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 797 | $8,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 1,945 | $8,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 339 | $8,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 5,679 | $8,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 2,087 | $8,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 351 | $8,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 333 | $8,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 3,935 | $8,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 840 | $8,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 8,624 | $8,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 2,075 | $8,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 6,506 | $8,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 4,000 | $8,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 615 | $8,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 18,185 | $8,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 640 | $8,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 2,301 | $8,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 3,275 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,435 | $8,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 1,540 | $8,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 6,728 | $8,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 87 | $8,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 9,418 | $8,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 1,500 | $8,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 6,148 | $8,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 3,079 | $8,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q403 | COM PAR | 49,630 | $8,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 8,645 | $8,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 1,623 | $8,000 | thousands by filing date | |
| PLANET GREEN HLDGS CORP | 72703U102 | COM | 1,843 | $8,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 7,611 | $8,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q706 | COM PAR | 1,885 | $8,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 203 | $8,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 970 | $8,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC | 29273B112 | *W EXP 05/08/202 | 12,630 | $8,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 8,311 | $8,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 2,529 | $8,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 5,930 | $8,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q811 | LONG SHORT ETF | 372 | $8,000 | thousands by filing date | |
| TIGERSHARES TR | 88680T108 | UP FINTC CHIN US | 300 | $8,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 4,945 | $8,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392109 | COM | 41,400 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E752 | DLY MSCI MX 3X | 766 | $8,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N128 | UNIT 08/21/2022 | 1,150 | $8,000 | thousands by filing date | |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 3,624 | $8,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $8,000 | thousands by filing date | principal |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 8,000 | $8,000 | thousands by filing date | principal |
| KFORCE INC COM | 493732101 | Stock | 205 | $7,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 445 | $7,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 246 | $7,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 312 | $7,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 706 | $7,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 2,093 | $7,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 829 | $7,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 1,935 | $7,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 340 | $7,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 4,708 | $7,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 3,303 | $7,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 498 | $7,000 | 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 |