13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-08-14, with 7,955 holding rows worth $259,643,623,000.
- Accession
- 0000950123-19-007874
- Filer
- CIK 1610520
- Filed
- 2019-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A combination report, 13,618 entries on the cover page, a total value of $259,643,623,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $259,643,681,000 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 |
|---|---|---|---|---|---|---|
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 15,587 | $46,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,366 | $46,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E521 | FUND | 996 | $46,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 11,972 | $46,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 6,845 | $46,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 1,202 | $46,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 2,341 | $46,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 707 | $46,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 889 | $45,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P611 | CMN | 1,760 | $45,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,902 | $45,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 33,465 | $45,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 3,414 | $45,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P464 | FUND | 893 | $45,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 8,909 | $45,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,530 | $45,000 | thousands by filing date | |
| ENTREPRENEURSHARES SERIES TR | 293828802 | ERSHARES ENT | 2,592 | $45,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,444 | $45,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1,069 | $45,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 3,860 | $45,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W700 | MLT FTR CR FXD | 1,726 | $45,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 1,791 | $45,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G813 | GLOBAL ESG ETF | 1,520 | $45,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 4,668 | $44,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 862 | $44,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 1,520 | $44,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 2,531 | $44,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,274 | $44,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,242 | $44,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P595 | SENIOR LOAN ETF | 1,792 | $44,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 30,000 | $44,000 | thousands by filing date | put |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 1,738 | $44,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 3,171 | $44,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,420 | $44,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 2,524 | $44,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 3,191 | $44,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 5,094 | $44,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 13,580 | $44,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 2,014 | $44,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 2,064 | $44,000 | thousands by filing date | |
| PROFICIENT ALPHA ACQUSTN COR COM | 74317h105 | COM | 4,500 | $44,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G830 | VIRTUS GLOVIST | 1,911 | $44,000 | thousands by filing date | |
| USAA ETF TR | 90291F105 | MSCI USA VL MT | 849 | $44,000 | thousands by filing date | |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 1,612 | $43,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,508 | $43,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 16,090 | $43,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 8,887 | $43,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 1,848 | $43,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 1,726 | $43,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 2,645 | $43,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 2,341 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 2,296 | $43,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 5,248 | $43,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 14,111 | $43,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 3,000 | $43,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 1,776 | $43,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,751 | $43,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 7,338 | $43,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 1,837 | $43,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 806 | $43,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 10,000 | $42,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 6,443 | $42,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 3,638 | $42,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 500 | $42,000 | thousands by filing date | put |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 6,226 | $42,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 3,640 | $42,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 3,158 | $42,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 1,060 | $42,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 3,284 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 400 | $42,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,997 | $42,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 19,786 | $42,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,697 | $42,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,837 | $42,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 4,831 | $42,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 1,891 | $42,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 7,500 | $42,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 871 | $42,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 1,643 | $42,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 9,432 | $41,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 500 | $41,000 | thousands by filing date | put |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 5,954 | $41,000 | thousands by filing date | |
| FRANKLIN FTSE LATIN AMERICA ETF | 35473P561 | ETF | 1,500 | $41,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 1,893 | $41,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 10,718 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 1,845 | $41,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 1,995 | $41,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 2,924 | $41,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 2,948 | $41,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 3,765 | $41,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 979 | $41,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 5,471 | $41,000 | thousands by filing date | |
| AVEDRO INC | 05355N109 | COM | 2,106 | $41,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 1,336 | $41,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 1,600 | $41,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 1,213 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 2,152 | $41,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 1,370 | $41,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 2,787 | $40,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,540 | $40,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 3,173 | $40,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 2,864 | $40,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,366 | $40,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 1,000 | $40,000 | thousands by filing date | put |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 1,227 | $40,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 77,597 | $40,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 3,092 | $40,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 6,593 | $40,000 | thousands by filing date | |
| DD3 ACQUISITION CORP | G2692M103 | SHS | 4,032 | $40,000 | thousands by filing date | |
| BOXWOOD MERGER CORP | 10319T200 | UNIT 11/26/2025 | 3,858 | $40,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 597 | $40,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 11,738 | $39,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 2,354 | $39,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 1,362 | $39,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 3,363 | $39,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 4,649 | $39,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 4,597 | $39,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 1,800 | $39,000 | thousands by filing date | call |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 3,477 | $39,000 | thousands by filing date | |
| ABRDN ETFS | 003261203 | BBRG ALL COMMDY | 1,627 | $39,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 4,122 | $39,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 13,658 | $39,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 775 | $39,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 4,359 | $39,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 34,002 | $39,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 34,000 | $39,000 | thousands by filing date | principal |
| NEOPHOTONICS CORP | 64051T100 | COM | 9,363 | $39,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 2,064 | $39,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 889 | $39,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 2,035 | $39,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 1,064 | $39,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 3,745 | $39,000 | thousands by filing date | |
| GIGCAPITAL2 INC | 375036209 | UNIT 02/28/2026 | 3,884 | $39,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 2,851 | $39,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 8,728 | $39,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K743 | VELOCITYSHS LONG | 1,697 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 1,697 | $39,000 | thousands by filing date | |
| REALITY | 75605A603 | SHS ETF TR DIVCON DIV ETF | 1,598 | $39,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 4,679 | $38,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,663 | $38,000 | thousands by filing date | |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 1,596 | $38,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 37,104 | $38,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 2,713 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 1,423 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 1,875 | $38,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 2,855 | $38,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 6,530 | $38,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 6,566 | $38,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 2,680 | $38,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 15,000 | $38,000 | thousands by filing date | call |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,276 | $38,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 3,151 | $38,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 7,908 | $38,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 4,783 | $38,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 2,645 | $38,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 1,045 | $38,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 2,027 | $38,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 2,806 | $38,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 2,562 | $38,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 2,097 | $38,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 1,296 | $37,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 3,569 | $37,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 4,279 | $37,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 1,695 | $37,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 5,769 | $37,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 1,288 | $37,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 2,365 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 899 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347B185 | FUND | 1,726 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 1,721 | $37,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 2,593 | $37,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 7,176 | $37,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 9,064 | $37,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 5,447 | $37,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 737 | $37,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 1,195 | $37,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 1,371 | $37,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 1,710 | $37,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641205 | UNIT 99/99/9999 | 3,700 | $37,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 1,324 | $37,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 2,258 | $36,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 2,770 | $36,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 2,903 | $36,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 6,779 | $36,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 3,882 | $36,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 4,678 | $36,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 11,205 | $36,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 4,302 | $36,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 10,760 | $36,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 3,266 | $36,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 6,198 | $36,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 1,920 | $36,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,707 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 456 | $36,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 16,875 | $36,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 1,522 | $36,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 2,546 | $36,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,072 | $36,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 1,385 | $36,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 5,383 | $36,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,813 | $36,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 5,597 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 2,682 | $36,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 1,752 | $35,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 400 | $35,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 17,063 | $35,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 2,162 | $35,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 3,909 | $35,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 12,986 | $35,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,008 | $35,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 3,102 | $35,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 5,311 | $35,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 1,181 | $35,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 4,990 | $35,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 1,446 | $35,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 1,461 | $35,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 3,510 | $35,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 3,435 | $35,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 8,235 | $35,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 4,099 | $35,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,238 | $35,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 1,400 | $35,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 1,257 | $35,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 6,422 | $35,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 1,260 | $35,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 9,057 | $35,000 | thousands by filing date | |
| BLACK RIDGE ACQUISITION CORP | 09216T107 | COM | 3,367 | $35,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 3,141 | $35,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 227 | $34,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 3,608 | $34,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 4,509 | $34,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 7,205 | $34,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,395 | $34,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 4,546 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 1,594 | $34,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 2,747 | $34,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 4,865 | $34,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 1,368 | $34,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 12,000 | $34,000 | thousands by filing date | put |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,195 | $34,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 6,769 | $34,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 1,304 | $34,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,311 | $34,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 2,792 | $34,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 7,863 | $34,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 2,478 | $34,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E291 | VLCTYSHS 3X LNG | 2,305 | $34,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 3,272 | $34,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 3,266 | $34,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 1,069 | $33,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 867 | $33,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 2,182 | $33,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 2,336 | $33,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 676 | $33,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 6,478 | $33,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 2,913 | $33,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 1,677 | $33,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 9,225 | $33,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 2,727 | $33,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 1,210 | $33,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,749 | $33,000 | thousands by filing date | |
| ENLIVEX LTD | M4130Y106 | CMN | 1,540 | $33,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 1,394 | $33,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 878 | $33,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 12,123 | $33,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 31,275 | $33,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 4,383 | $33,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 2,746 | $33,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 13,162 | $33,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 3,665 | $33,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 13,062 | $33,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 1,535 | $33,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 961 | $33,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 8,872 | $33,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 1,344 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E752 | DLY MSCI MX 3X | 3,091 | $33,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,258 | $33,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 200 | $32,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 513 | $32,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 1,231 | $32,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 1,899 | $32,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 8,128 | $32,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 1,819 | $32,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 45,000 | $32,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 1,220 | $32,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P785 | FTSE GERMANY | 1,491 | $32,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 5,130 | $32,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 2,772 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 533 | $32,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,146 | $32,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 8,100 | $32,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 3,732 | $32,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 11,263 | $32,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 8,657 | $32,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 50,257 | $32,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,256 | $32,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 8,033 | $32,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 1,953 | $32,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 1,251 | $32,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 3,236 | $32,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 917 | $31,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 4,964 | $31,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 2,058 | $31,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 632 | $31,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 2,090 | $31,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 2,250 | $31,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 1,704 | $31,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 4,900 | $31,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 3,119 | $31,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 816 | $31,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 3,861 | $31,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L204 | COM NEW | 3,959 | $31,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 2,094 | $31,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 1,289 | $31,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 18,377 | $31,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 18,000 | $31,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 3,464 | $31,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 2,993 | $31,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 6,564 | $31,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 12,737 | $31,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 1,328 | $31,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372108 | UNIT 08/29/2024 | 3,019 | $31,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 3,040 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K299 | LTN AM BL 3X NEW | 1,336 | $31,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G789 | INTERNATNL REV | 1,233 | $31,000 | thousands by filing date | |
| SENTINEL ENERGY SVCS INC | 81728P105 | CL A | 3,032 | $31,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 544 | $30,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,716 | $30,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,926 | $30,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 2,667 | $30,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 878 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,279 | $30,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 3,822 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 1,891 | $30,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 595 | $30,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 7,499 | $30,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 1,635 | $30,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 13,585 | $30,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 2,127 | $30,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 8,579 | $30,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 1,000 | $30,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 5,926 | $30,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 4,574 | $30,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 1,972 | $30,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 1,228 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E117 | DAILY MD CP BEAR | 581 | $30,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 5,968 | $30,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 2,905 | $30,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 1,504 | $30,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884203 | UNIT 99/99/9999 | 3,021 | $30,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 1,552 | $30,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,537 | $29,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 725 | $29,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 500 | $29,000 | thousands by filing date | put |
| TIPTREE INC | 88822Q103 | COM | 4,562 | $29,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 9,040 | $29,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 11,821 | $29,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 4,003 | $29,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 1,500 | $29,000 | thousands by filing date | call |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 1,281 | $29,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 1,397 | $29,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 1,427 | $29,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H591 | CMN | 1,009 | $29,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 6,254 | $29,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 1,345 | $29,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 1,850 | $29,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 5,567 | $29,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 23,985 | $29,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 33,964 | $29,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 5,767 | $29,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 396 | $29,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25460E539 | ETF | 1,624 | $29,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 34,710 | $29,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 3,064 | $29,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 3,163 | $29,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 40,144 | $29,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 1,467 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 1,089 | $29,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950111 | UNIT 08/15/2023 | 2,800 | $29,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 2,919 | $28,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 2,527 | $28,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 346 | $28,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 751 | $28,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,402 | $28,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 1,147 | $28,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 2,390 | $28,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 2,899 | $28,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 10,907 | $28,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 6,538 | $28,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 1,486 | $28,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 737 | $28,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641760 | CMCI AGRI ETN | 1,760 | $28,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 1,588 | $28,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 2,349 | $28,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 900 | $28,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E560 | LADERITE 0-5YR | 1,133 | $28,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 11,000 | $28,000 | thousands by filing date | principal |
| MENLO THERAPEUTICS INC | 586858102 | COM | 4,614 | $28,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E479 | PURBTA FTSE EM | 1,160 | $28,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 11,590 | $28,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 2,488 | $28,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 2,812 | $28,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K207 | UNIT 06/19/2025 | 2,717 | $28,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 2,166 | $28,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 4,094 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347B193 | ULTRAPRO SHORT N | 2,102 | $28,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 2,367 | $27,000 | thousands by filing date | |
| RHINEBECK BANCORP INC | 762093102 | COMMON STOCK | 2,412 | $27,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 5,143 | $27,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 1,800 | $27,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 2,361 | $27,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 3,053 | $27,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 649 | $27,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 2,906 | $27,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 5,375 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P456 | FUND | 667 | $27,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 13,888 | $27,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 1,471 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 1,994 | $27,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 1,178 | $27,000 | thousands by filing date | |
| HIGHEST PERFORMANCES HOLDINGS - ADR | 69373Y109 | COM | 2,072 | $27,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 21,762 | $27,000 | thousands by filing date | |
| USCF FDS TR | 91733T406 | US 3X SHRT OIL | 5,206 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347B417 | K1 FRE CRD OIL | 1,306 | $27,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 8,995 | $27,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285201 | UNIT 12/30/2025 | 2,700 | $27,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 900 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74348A194 | ULTRASHORT GOLD | 2,978 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y840 | CB OE RUSSELL | 1,378 | $27,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 1,030 | $27,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 1,084 | $26,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 826 | $26,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 1,387 | $26,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 1,570 | $26,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE MOMENTUM ET | 02072L300 | ETF | 1,008 | $26,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 1,029 | $26,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 4,716 | $26,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 1,114 | $26,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 3,544 | $26,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 23,792 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 793 | $26,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,618 | $26,000 | thousands by filing date | |
| PROSHARES SP 500 DIVIDEND ARISTOCRATS ETF | 74347B482 | ETF | 601 | $26,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 22,287 | $26,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P480 | FUND | 508 | $26,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 4,226 | $26,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 2,153 | $26,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 16,564 | $26,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 1,107 | $26,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 977 | $26,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 689 | $26,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 714 | $26,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 414 | $26,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 2,081 | $26,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q106 | CL A | 2,592 | $26,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 1,269 | $26,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745204 | UNIT 02/01/2023 | 2,501 | $26,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505780 | BERNSTEIN GBL | 1,037 | $26,000 | thousands by filing date | |
| PALOMAR HLDGS INC COM | 69753M105 | Stock | 1,024 | $25,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,624 | $25,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 500 | $25,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,269 | $25,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 2,678 | $25,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 1,941 | $25,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 3,232 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P514 | FUND | 579 | $25,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 2,518 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 1,372 | $25,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 3,948 | $25,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 5,811 | $25,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 851 | $25,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 10,224 | $25,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 2,146 | $25,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 53,720 | $25,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 1,643 | $25,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 3,114 | $25,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 40,974 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 100,334 | $25,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 2,500 | $25,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 1,542 | $25,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H209 | UNIT 99/99/9999 | 2,500 | $25,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP III | 31811A309 | UNIT 12/01/2023 | 2,334 | $25,000 | thousands by filing date | |
| DD3 ACQUISITION CORP | G2692M129 | UNIT 10/12/2023 | 2,397 | $25,000 | thousands by filing date | |
| ASV HLDGS INC | 00215L104 | COM | 3,579 | $25,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 1,014 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 330 | $24,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 3,008 | $24,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,243 | $24,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,443 | $24,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,756 | $24,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 46,525 | $24,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 736 | $24,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 2,643 | $24,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 1,034 | $24,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 1,351 | $24,000 | thousands by filing date | |
| HEADHUNTER GROUP PLC ADR | 42207L106 | COM | 1,492 | $24,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 1,274 | $24,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 12,752 | $24,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 3,086 | $24,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-007874 | this filing | 2019-08-14 | acceptance time not in the bulk data set |