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 |
|---|---|---|---|---|---|---|
| HURCO CO | 447324104 | COM | 184 | $7,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 250 | $7,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 3,536 | $7,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONALMULTIFACTOR FUND | 97717Y774 | ETF | 276 | $7,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 465 | $7,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 1,000 | $7,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 218 | $7,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 350 | $7,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 350 | $7,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 21,154 | $7,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 483 | $7,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 6,305 | $7,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 5,637 | $7,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 4,123 | $7,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 11,592 | $7,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 1,046 | $7,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 3,198 | $7,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 505 | $7,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 473 | $7,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 4,396 | $7,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 9,389 | $7,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 10,014 | $7,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 4,382 | $7,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 7,591 | $7,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 473 | $7,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 254 | $7,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 387 | $7,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 7,332 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 256 | $7,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 433 | $7,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 10,127 | $7,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 1,974 | $7,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $7,000 | thousands by filing date | principal |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 2,767 | $7,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 903 | $7,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 4,359 | $7,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 2,294 | $7,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 1,250 | $7,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| Federal Life Group Inc. | 313533101 | COM | 600 | $7,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 200 | $7,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 3,235 | $7,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 539 | $7,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 2,248 | $7,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 2,561 | $7,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T266 | XLINK CRD ETN37 | 290 | $7,000 | thousands by filing date | |
| U S WELL SVCS INC | 91274U119 | *W EXP 03/15/202 | 6,983 | $7,000 | thousands by filing date | |
| PUHUI WEALTH INVT MGMT CO LT | G7306H101 | SHS | 2,001 | $7,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 1,686 | $7,000 | thousands by filing date | |
| COMMAND CENTER INC | 200497204 | COM NEW | 1,834 | $7,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 6,968 | $7,000 | thousands by filing date | |
| LEVEL BRANDS INC | 52730Q209 | COM NEW | 1,675 | $7,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 58,435 | $7,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 4,671 | $7,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 5,444 | $7,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 5,022 | $7,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R114 | UNIT 06/21/2023 | 650 | $7,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90270L354 | SER B LKD 46 | 190 | $7,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 7,606 | $7,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H732 | QUTX RSK MNDGW | 237 | $7,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N136 | RIGHT 08/21/2022 | 21,600 | $7,000 | thousands by filing date | |
| CHURCHILL CAP CORP | 17142R111 | *W EXP 09/11/202 | 2,096 | $7,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C658 | RUSL 1000 VALU | 250 | $7,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 543 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P744 | FTSE JAPAN ETF | 247 | $6,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 1,103 | $6,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 12,956 | $6,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 510 | $6,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 1,458 | $6,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 74 | $6,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 232 | $6,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 42 | $6,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 877 | $6,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 392 | $6,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,879 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 300 | $6,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 7,631 | $6,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 337 | $6,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 171 | $6,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 5,726 | $6,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 210 | $6,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 470 | $6,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,082 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B573 | CMN | 100 | $6,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L602 | CMN | 157 | $6,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,000 | $6,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 1,066 | $6,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 300 | $6,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 3,006 | $6,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 4,956 | $6,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 641 | $6,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 1,874 | $6,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 1,056 | $6,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,000 | $6,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 1,400 | $6,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 5,930 | $6,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 10,180 | $6,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 6,680 | $6,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 2,927 | $6,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 498 | $6,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,603 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 75 | $6,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 157 | $6,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 9,799 | $6,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 1,047 | $6,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,461 | $6,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 6,250 | $6,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 4,372 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 159 | $6,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 4,578 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $6,000 | thousands by filing date | principal |
| IMAC HLDGS INC | 44967K112 | *W EXP 02/12/202 | 7,159 | $6,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W614 | GOLD STRATEGY | 112 | $6,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,874 | $6,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 225 | $6,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 6,104 | $6,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 4,925 | $6,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 1,672 | $6,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 7,179 | $6,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 200 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P579 | FTSE SOUTH AFR | 237 | $6,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 1,848 | $6,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931602 | COM NEW | 3,700 | $6,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 8,456 | $6,000 | thousands by filing date | |
| THE9 LTD SPON ADS NEW | 88337K203 | ADR | 3,058 | $6,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 217 | $6,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L100 | US EQT CUM 2027 | 490 | $6,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 3,000 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E653 | DLY EUR STX 3X | 368 | $6,000 | thousands by filing date | |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 4,716 | $6,000 | thousands by filing date | |
| SIRIUS INTERNATIONAL INSURAN COM | G8196D101 | Stock | 464 | $6,000 | thousands by filing date | |
| XPRESSPA GROUP INC COM NEW | 98420U604 | Stock | 2,621 | $6,000 | thousands by filing date | |
| Brooge Holdings ltd | G9145A115 | *W EXP 12/20/202 | 24,020 | $6,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 32,044 | $6,000 | thousands by filing date | |
| SSLJ COM LIMITED | G8406F102 | SHS CL A | 11,907 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051465 | XTRCK BRCLY INTL | 113 | $6,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 11,378 | $6,000 | thousands by filing date | |
| AURIS MEDICAL HOLDING LTD | G07025102 | COM | 18,165 | $6,000 | thousands by filing date | |
| CHINA BAT GROUP INC | 16955B106 | COM | 2,550 | $6,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 514 | $5,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 413 | $5,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 212 | $5,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 866 | $5,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 745 | $5,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 1,424 | $5,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 100 | $5,000 | thousands by filing date | |
| AUDIOEYE INC | 050734201 | COM NEW | 503 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 189 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q647 | MUNICIPAL ETF | 100 | $5,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 186 | $5,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 1,100 | $5,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 130 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 190 | $5,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 663 | $5,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 884 | $5,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,230 | $5,000 | thousands by filing date | |
| FIRST TR FD VI ETF FIRST TRUST SMID GROWTH STRENGTH | 33738R746 | ETF | 249 | $5,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 1,797 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 198 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 200 | $5,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527109 | SHS | 1,137 | $5,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 591 | $5,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 608 | $5,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 3,220 | $5,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 3,156 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P850 | MUNICIPAL GRN BD | 200 | $5,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,078 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E679 | DAILY TRANSN ETF | 198 | $5,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 790 | $5,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 571 | $5,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 975 | $5,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 488 | $5,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 226 | $5,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 1,756 | $5,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 1,666 | $5,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 5,120 | $5,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 3,247 | $5,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 5,000 | $5,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 4,000 | $5,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 4,000 | $5,000 | thousands by filing date | principal |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 1,365 | $5,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,000 | $5,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 2,899 | $5,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 3,239 | $5,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 1,216 | $5,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 19,303 | $5,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 759 | $5,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,769 | $5,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,095 | $5,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 11,822 | $5,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 2,210 | $5,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 2,421 | $5,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 6,300 | $5,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 4,658 | $5,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 223 | $5,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 5,118 | $5,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 2,000 | $5,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 661 | $5,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 6,604 | $5,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 2,850 | $5,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 5,037 | $5,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 5,995 | $5,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 5,665 | $5,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 1,546 | $5,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 803 | $5,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,700 | $5,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 13,100 | $5,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 3,702 | $5,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,081 | $5,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 4,370 | $5,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 9,740 | $5,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 4,284 | $5,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 2,666 | $5,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 1,897 | $5,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 4,449 | $5,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 2,931 | $5,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 500 | $5,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 952 | $5,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 4,515 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 141 | $5,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 150 | $5,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 3,806 | $5,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 945 | $5,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNE | 51508j405 | LP | 213 | $5,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 5,750 | $5,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 6,000 | $5,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 12,100 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| OPPENHEIMER ETF TR RUSL 1000 MOMT | 68386C682 | CEF | 186 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 200 | $5,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 99 | $5,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 680 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 196 | $5,000 | thousands by filing date | |
| NETSHOES CAYMAN LTD | G6455X107 | COM | 3,273 | $5,000 | thousands by filing date | |
| MYND ANALYTICS INC | 62857N202 | COM NEW | 3,425 | $5,000 | thousands by filing date | |
| TOUGHBUILT INDUSTRIES INC | 89157G306 | UNIT 10/10/20233 | 960 | $5,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R207 | S&P GSCI CM K 1 | 209 | $5,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E109 | COM | 500 | $5,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 135 | $4,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 145 | $4,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 1 | $4,000 | thousands by filing date | |
| FOCUS FINANCIAL PARTNERS INC. | 34417P100 | COM CL A | 93 | $4,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 269 | $4,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 615 | $4,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 150 | $4,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,328 | $4,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 1,752 | $4,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,050 | $4,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 837 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092717 | INT VL FCT ETF | 178 | $4,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 100 | $4,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,375 | $4,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 1,578 | $4,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 3,184 | $4,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 326 | $4,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 3,148 | $4,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y609 | CMN | 151 | $4,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 367 | $4,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,000 | $4,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 1,116 | $4,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 1,249 | $4,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 4,188 | $4,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 4,916 | $4,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 5,246 | $4,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 150 | $4,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 2,267 | $4,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 1,535 | $4,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,046 | $4,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 1,356 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P431 | FUND | 78 | $4,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 5,200 | $4,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 794 | $4,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 1,572 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 1,891 | $4,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 223 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 491 | $4,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 1,419 | $4,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 3,581 | $4,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 162 | $4,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 797 | $4,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 1,839 | $4,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 2,001 | $4,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 1,933 | $4,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 12,204 | $4,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 523 | $4,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 2,250 | $4,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 3,000 | $4,000 | thousands by filing date | principal |
| APTINYX INC | 03836N103 | COM | 1,100 | $4,000 | thousands by filing date | |
| DATASEA INC | 238116206 | COM NEW | 1,945 | $4,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 1,249 | $4,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 747 | $4,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 1,880 | $4,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 2,004 | $4,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A408 | mc | 250 | $4,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 1,091 | $4,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 2,070 | $4,000 | thousands by filing date | |
| ECOFIN DIGITAL PAYMENTS INFRASTRUCTURE FUND | 56167N548 | ETF | 158 | $4,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 34,904 | $4,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 298 | $4,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 966 | $4,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 8,436 | $4,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 2,500 | $4,000 | thousands by filing date | |
| MicroSectors FANG Index 2X Inverse Leveraged ETN | 063679849 | ETP | 82 | $4,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 139 | $4,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 2,675 | $4,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E233 | VELCTYSHS USDCHF | 200 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430297 | HUMAN EVOLUTION | 75 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430321 | FINANCE REIMAGI | 82 | $4,000 | thousands by filing date | |
| PERFORMANCE SHIPPING INC | Y67305105 | COM | 3,556 | $4,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E654 | MKT HLDGS I VELCTYSHS JPYUSD | 150 | $4,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 2,000 | $4,000 | thousands by filing date | principal |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 380 | $4,000 | thousands by filing date | |
| GREENLAND ACQUISITIN CORPORA | G40981121 | UNIT 03/03/2025 | 399 | $4,000 | thousands by filing date | |
| ATTIS INDS INC | 049836208 | COM NEW | 1,250 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 58 | $3,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 404 | $3,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 500 | $3,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 97 | $3,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 102 | $3,000 | thousands by filing date | |
| FIDELITY HIGH YIELD FACTOR ETF | 316092618 | HIGH YILD ETF | 49 | $3,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 356 | $3,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 170 | $3,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 187 | $3,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 1,381 | $3,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 125 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 161 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $3,000 | thousands by filing date | principal |
| TECOGEN INC NEW | 87876P201 | COM NEW | 646 | $3,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 2,260 | $3,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 1,298 | $3,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 1,293 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 74 | $3,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 166 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 47 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 70 | $3,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 478 | $3,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 289 | $3,000 | thousands by filing date | |
| ELTEK LTD | M40184208 | SHS | 1,790 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 200 | $3,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 200 | $3,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 527 | $3,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 3,000 | $3,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 100 | $3,000 | thousands by filing date | put |
| INUVO INC | 46122W204 | COM NEW | 2,157 | $3,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,597 | $3,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 411 | $3,000 | thousands by filing date | |
| WORKDAY INC | 98138HAF8 | NOTE 0.250%10/0 | 2,000 | $3,000 | thousands by filing date | principal |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 178 | $3,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 1,526 | $3,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 931 | $3,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 8,685 | $3,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 2,163 | $3,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,309 | $3,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,273 | $3,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 430 | $3,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 2,122 | $3,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 540 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 187 | $3,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,280 | $3,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 2,978 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 69 | $3,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 140 | $3,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 125 | $3,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 953 | $3,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 1,220 | $3,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 232 | $3,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 1,569 | $3,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 525 | $3,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 22,697 | $3,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 300 | $3,000 | thousands by filing date | |
| SQUARE INC | 852234AB9 | NOTE 0.375% 3/0 | 1,000 | $3,000 | thousands by filing date | principal |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 1,000 | $3,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 2,000 | $3,000 | thousands by filing date | principal |
| EVOKE PHARMA INC | 30049G104 | COM | 2,005 | $3,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 852 | $3,000 | thousands by filing date | |
| Trovagene Inc | 897238606 | COM | 794 | $3,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 770 | $3,000 | thousands by filing date | |
| DOGNESS INTERNATIONAL CORP | G2788T103 | COM CL A | 933 | $3,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 1,797 | $3,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 1,481 | $3,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A114 | *W EXP 07/31/202 | 6,617 | $3,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 1,823 | $3,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P404 | mc | 72 | $3,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 2,769 | $3,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 116 | $3,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 7,600 | $3,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 38,029 | $3,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 2,766 | $3,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 8,275 | $3,000 | thousands by filing date | |
| CHINA INTERNET NATIONWIDE FI | G2120A101 | SHS | 699 | $3,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC | 85855A302 | COM | 2,654 | $3,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 380 | $3,000 | thousands by filing date | |
| GLOBAL X MSCI CHINA LARGE-CAP 50 ETF | 37954Y566 | ETF | 100 | $3,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N114 | *W EXP 05/30/202 | 7,800 | $3,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 2,620 | $3,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P111 | *W EXP 05/17/202 | 8,600 | $3,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 6,900 | $3,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E121 | RIGHT 99/99/9999 | 11,912 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D424 | 2XLEVE ETRACS WF | 210 | $3,000 | thousands by filing date | |
| SUMMIT WIRELESS TECHNLGIES I | 86633R104 | COM | 1,372 | $3,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N122 | *W EXP 06/08/202 | 8,917 | $3,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 2,000 | $3,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 3,000 | $3,000 | thousands by filing date | principal |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 4,247 | $3,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219117 | *W EXP 07/08/202 | 550 | $3,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P129 | RIGHT 99/99/9999 | 8,550 | $3,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612109 | SHS | 2,303 | $3,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 1,650 | $3,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 5,984 | $3,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C716 | RUSL 1000 YIEL | 100 | $3,000 | thousands by filing date | |
| ESSENTIAL PPTYS RLTY TR INC COM | 29670E107 | REIT | 95 | $2,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 132 | $2,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 74 | $2,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 36 | $2,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 100 | $2,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 142 | $2,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 500 | $2,000 | thousands by filing date | |
| SI BONE INC | 825704109 | COM | 124 | $2,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 125 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 55 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 100 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 90 | $2,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 1,625 | $2,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 693 | $2,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 311 | $2,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 850 | $2,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 749 | $2,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 400 | $2,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 234 | $2,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 3,328 | $2,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 182 | $2,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 90 | $2,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 83 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 73 | $2,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 1,696 | $2,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 523 | $2,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 1,019 | $2,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 8,292 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 88 | $2,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 90 | $2,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 120 | $2,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 608 | $2,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 824 | $2,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 180 | $2,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 104 | $2,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 932 | $2,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $2,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 131 | $2,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 266 | $2,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 263 | $2,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 1,492 | $2,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 1,000 | $2,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 1,414 | $2,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 1,740 | $2,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 1,000 | $2,000 | thousands by filing date | principal |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 224 | $2,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 1,116 | $2,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 187 | $2,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 250 | $2,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 1,000 | $2,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 332 | $2,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 2,000 | $2,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 1,545 | $2,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 2,878 | $2,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 3,000 | $2,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 64 | $2,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 298 | $2,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 801 | $2,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 131 | $2,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 1,808 | $2,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 1,065 | $2,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 4,400 | $2,000 | thousands by filing date | |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 3,978 | $2,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 5,576 | $2,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 1,412 | $2,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 1,728 | $2,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 600 | $2,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 1,969 | $2,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 1,000 | $2,000 | thousands by filing date | principal |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 1,000 | $2,000 | thousands by filing date | principal |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| REMARK HLDGS INC | 75955K102 | COM | 1,119 | $2,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 839 | $2,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 2,270 | $2,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,520 | $2,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 2,389 | $2,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 86 | $2,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP SHS NEW | Y73760301 | Stock | 507 | $2,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 3,917 | $2,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 104 | $2,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 1,017 | $2,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 138 | $2,000 | thousands by filing date | |
| JMU LTD | 46647L204 | SPONSORED ADS | 1,411 | $2,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 340 | $2,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 2,000 | $2,000 | thousands by filing date | principal |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 1,501 | $2,000 | 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 |