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 |
|---|---|---|---|---|---|---|
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 984 | $2,000 | thousands by filing date | |
| CASTOR MARITIME INC | Y1146L109 | SHS | 378 | $2,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482129 | RIGHT 12/01/2022 | 5,709 | $2,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R129 | *W EXP 99/99/999 | 2,900 | $2,000 | thousands by filing date | |
| Tottenham Acquisition I Limited | G8959N106 | SHS | 200 | $2,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 625 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 1,529 | $2,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 875 | $2,000 | thousands by filing date | |
| IPIC ENTMT INC | 46263D106 | COM CL A | 340 | $2,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 2,151 | $2,000 | thousands by filing date | |
| SAFE T GROUP LTD | 78643B302 | SPONSORED ADS | 967 | $2,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 7,235 | $2,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760128 | *W EXP 12/05/202 | 1,700 | $2,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 251 | $1,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 26 | $1,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 1,816 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 288 | $1,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 125 | $1,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 105 | $1,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 198 | $1,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 201 | $1,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 22 | $1,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 21 | $1,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 82 | $1,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 69 | $1,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 71 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435G219 | INVESTMENT GRADE | 18 | $1,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 39 | $1,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 105 | $1,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 212 | $1,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 23 | $1,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 100 | $1,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 81 | $1,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 70 | $1,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 151 | $1,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 45 | $1,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 240 | $1,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 58 | $1,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 141 | $1,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 1,073 | $1,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 816 | $1,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 100 | $1,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 100 | $1,000 | thousands by filing date | put |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 30 | $1,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 266 | $1,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 25 | $1,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 215 | $1,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 1,293 | $1,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 292 | $1,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 590 | $1,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 180 | $1,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 200 | $1,000 | thousands by filing date | |
| Yogaworks, Inc. | 986005106 | com | 1,214 | $1,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 692 | $1,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 32 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G848 | VIRTUS WMC INTNL | 42 | $1,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 300 | $1,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 100 | $1,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 440 | $1,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 1,000 | $1,000 | thousands by filing date | principal |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 1,000 | $1,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 1,000 | $1,000 | thousands by filing date | principal |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 1,000 | $1,000 | thousands by filing date | principal |
| EVANS BANCORP INC | 29911Q208 | COM | 32 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 295 | $1,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 266 | $1,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 187 | $1,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 135 | $1,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 1,000 | $1,000 | thousands by filing date | principal |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 140 | $1,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 300 | $1,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 612 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| ACETO CORP | 004446100 | COM | 8,241 | $1,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 335 | $1,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 77 | $1,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,777 | $1,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 574 | $1,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 884 | $1,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,000 | $1,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 1,054 | $1,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,500 | $1,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 197 | $1,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 839 | $1,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 1,126 | $1,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 3,189 | $1,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 1,138 | $1,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 8,240 | $1,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 172 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K833 | MTL SHRT ETN38 | 30 | $1,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 207 | $1,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 1,000 | $1,000 | thousands by filing date | principal |
| QUMU CORP | 749063103 | COM | 500 | $1,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 915 | $1,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 349 | $1,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 83 | $1,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 1,500 | $1,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 333 | $1,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 4,518 | $1,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 683 | $1,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 1,444 | $1,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 411 | $1,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 616 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 11 | $1,000 | thousands by filing date | |
| YANGTZE RIV PORT AND LGSTC L | 98475Y105 | COM | 1,783 | $1,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 1,074 | $1,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 551 | $1,000 | thousands by filing date | |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 1,000 | $1,000 | thousands by filing date | principal |
| AKERS BIOSCIENCES INC | 00973E300 | COM NEW | 1,424 | $1,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 1,334 | $1,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 371 | $1,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F115 | *W EXP 08/21/202 | 1,051 | $1,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 55 | $1,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 18 | $1,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527117 | *W EXP 06/27/202 | 4,393 | $1,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P118 | *W EXP 03/13/202 | 5,100 | $1,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 1,399 | $1,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 65 | $1,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC WT EXP 122 | G3206V118 | WT | 4,650 | $1,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 237 | $1,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 1,770 | $1,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 758 | $1,000 | thousands by filing date | |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 2,005 | $1,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 983 | $1,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760102 | COM CL A | 100 | $1,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 299 | $1,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 1,977 | $1,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 2,550 | $1,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 119 | $1,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 200 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A127 | *W EXP 07/07/202 | 58,860 | $1,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 666 | $1,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 1,301 | $1,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 100 | $1,000 | thousands by filing date | |
| TAOPING INC COM | G8675V101 | Stock | 941 | $1,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 1,200 | $1,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| BIG ROCK PARTNERS ACQUISITIO | 089482111 | *W EXP 12/01/202 | 5,100 | $1,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R130 | RIGHT 07/17/2023 | 5,700 | $1,000 | thousands by filing date | |
| KITOV PHARMA LTD | 49803V115 | *W EXP 11/25/202 | 2,684 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 3,712 | $1,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R122 | W EXP 06/21/202 | 2,400 | $1,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 13,773 | $1,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 50 | $1,000 | thousands by filing date | |
| BIOCERES CROP SOLUTIONS CORP | G1117K106 | *W EXP 03/14/202 | 2,328 | $1,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| ALTA MESA RES INC 3 | 02133L117 | COM | 26,822 | $1,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 390 | $1,000 | thousands by filing date | |
| WRLSW US 08 Aug 22 C11.5 | 70957E113 | W EXP 07/27/202 | 3,100 | $1,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 210 | $1,000 | thousands by filing date | |
| BOXWOOD MERGER CORP; TNT ACQ DT: 11/16/2020; CASH | 10319t101 | COM | 51 | $1,000 | thousands by filing date | |
| WEALTHBRIDGE ACQUISITION LTD | G4887W102 | UNIT 99/99/9999 | 100 | $1,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 993 | $1,000 | thousands by filing date | |
| CONSTELLATION ALPHA CAP CORP | G2379F116 | *W EXP 03/23/202 | 10,400 | $1,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W202 | COM NEW | 3,112 | $1,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950129 | *W EXP 02/20/202 | 4,800 | $1,000 | thousands by filing date | |
| PARINGA RESOURCES LIMITED | 69949M100 | SPONSORED ADS | 132 | $1,000 | thousands by filing date | |
| BISON CAP ACQUISITION CORP | G1142P138 | RIGHT 03/20/2019 | 3,063 | $1,000 | thousands by filing date | |
| VISLINK TECHNOLOGIES INC | 92836Y102 | COM | 1,552 | $1,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AD2 | NOTE 6/1 | 1,000 | $1,000 | thousands by filing date | principal |
| PRESBIA PLC | G7234P100 | SHS | 716 | $1,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B128 | RIGHT 99/99/9999 | 2,434 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y816 | BALANCED INCOME | 39 | $1,000 | thousands by filing date | |
| CHASERG TECHNLGY ACQUISITN C | 16166A202 | UNIT 09/30/2023 | 100 | $1,000 | thousands by filing date | |
| SOLENO THERAPEUTICS INC | 834203135 | *W EXP 11/12/201 | 5,523 | $1,000 | thousands by filing date | |
| ATTIS INDS INC | 049836125 | *W EXP 02/10/202 | 1,168 | $1,000 | thousands by filing date | |
| REALM THERAPEUTICS PLC | 75606L103 | SPONSORED ADS | 175 | $1,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A131 | RIGHT 12/22/2019 | 3,000 | $1,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E204 | UNIT 07/27/2022 | 100 | $1,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C765 | GLOBAL REV | 50 | $1,000 | thousands by filing date | |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TORM PLC SHS CL A | G89479102 | Stock | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWELL INDS INC | 739128106 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROVISION INC DEL | 594960304 | COM NEW | 394 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRO DEX INC | 74265M205 | COMMON STOCK | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KVH INDS INC | 482738101 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDAL TR III ETF IMPACT SHARES WOMEN'S EMPOWERMENT | 45259A100 | ETF | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PGIM ETF TR | 69344A206 | ACTV HY BD ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW YORK LIFE INVTS ACTIVE E | 45409F843 | MACK MU INSD ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARROW INVTS TR | 042765719 | RESV CAP ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DBX ETF TR | 233051259 | XTRACKERS HIGH | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANKLIN TEMPLETON ETF TR | 35473P504 | INCOME EQT FOCUS | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WTS/ALLEGRO MERGER CORP EXP01/06/25 | 01749N111 | WARR | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 104 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 64 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHIMERIX INC COM | 16934W106 | Stock | 130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HEXO CORP | 428304109 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVAXIS INC | 007624307 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IF BANCORP INC | 44951J105 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SILVERCREST METALS INC | 828363101 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 115 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIERRA METALS INC | 82639W106 | COM | 255 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRISTOW GROUP INC | 110394103 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVISTAR INTL CORP | 638901306 | PFD | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADVISION INC | 111412706 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CANCER GENETICS INC. | 13739u104 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LATTICE STRATEGIES TR | 518416607 | HARTFORD MLT DIV | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 118 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREATIVE REALITIES INC | 22530J200 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXCHANGE TRADED CONCEPTS TR | 301505756 | INNOVATION SHS | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 323 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREATIVE REALITIES INC | 22530J119 | *W EXP 11/19/202 | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R174 | *W EXP 11/14/202 | 289 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 293 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NANOVIRICIDES INC | 630087203 | COM NEW | 1,258 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTORI THERAPEUTICS INC | 23283K402 | COM PAR | 63 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACHIEVE LIFE SCIENCE INC | 004468203 | COM NEW | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KBL MERGER CORP IV | 48242A112 | W EXP 01/15/202 | 112 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WTS/HUNTER MARITIME ACQUISITIEXP12/31/2021 | Y37828129 | WARR | 901 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 667 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATYR PHARMA INC | 002120103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRINCIPAL CONTRARIAN VALUE INDEX ETF | 74255Y862 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO ACTIVELY MANAGED EXCHA LIQ $12.06432/SH 6/26/23 | 46090A309 | LIQ $12.06432/SH 6/26/23 | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 89 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740D830 | RTRN DISABILIT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FFBW INC | 30258M107 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CITIUS PHARMACEUTICALS INC | 17322U116 | *W EXP 08/08/202 | 775 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEMTREX INC | 15130G113 | *W EXP 12/02/202 | 6,450 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 101,100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 120 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLEX PHARMA INC | 33938A105 | COM | 955 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUSION CONNECT INC | 36116X102 | COM | 134 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEANERGY MARITIME HLDGS CORP | Y73760145 | *W EXP 11/10/202 | 3,700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHIO PHARMACEUTICALS CORP | 71880W105 | *W EXP 12/21/202 | 3,578 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCONOVA THERAPEUTICS INC | 68232V116 | *W EXP 07/11/202 | 3,784 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MONAKER GROUP INC | 609011200 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEGACY ACQUISITION CORP | 524643111 | *W EXP 11/30/202 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVIOS MARITIME CHG CONTAINERS LP UNIT REPSTG LP INT | Y62151108 | COM UNIT RP LP | 175 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OHR PHARMACEUTICAL INC COM | 67778H309 | Stock | 190 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LF CAP ACQUISITION CORP | 50200K116 | *W EXP 06/22/202 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEGALITH FINL ACQUISITION CO | 58518F117 | *W EXP 08/26/202 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 213 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 7,622 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREDIT SUISSE AG NASSAU BRH X | 22539T399 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 26,849 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EYEGATE PHARMACEUTICALS INC | 30233M115 | *W EXP 08/05/202 | 545 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLEGRO MERGER CORP-RTS | 01749N129 | RIGHT 12/31/2023 | 262 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 1,203 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOTIF BIO PLC | 619784119 | *W EXP 11/09/202 | 127 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 1,307 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRISTOW GROUP INC | 110394AF0 | NOTE 4.500 6/0 | 1,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 1,190 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONSTELLATION ALPHA CAP CORP | G2379F132 | RIGHT 99/99/9999 | 3,900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 20,674 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIBERIUS ACQUISITION CORP | 88633A115 | *W EXP 02/28/202 | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUROMETRIX INC | 641255195 | *W EXP 05/29/202 | 19,973 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F120 | *W EXP 08/20/201 | 350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREENLAND ACQUISITIN CORPORA | G40981113 | RIGHT 04/27/2025 | 1,550 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVUME SOLUTIONS INC | 67012D106 | COM | 666 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACK RIDGE ACQUISITION CORP | 09216T115 | *W EXP 07/10/202 | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 98,611 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 27,655 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INPIXON | 45790J503 | COM PAR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 4,024 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONE MADISON CORP | G6772P126 | *W EXP 99/99/999 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B128 | ULTRPRO COM SR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONOMA PHARMACEUTICALS INC | 83558L113 | *W EXP 01/21/202 | 4,166 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |