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 |
|---|---|---|---|---|---|---|
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 2,130 | $24,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 496 | $24,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 1,801 | $24,000 | thousands by filing date | |
| DIREXION DAILY S&P OIL & GAS EXP. & PROD. BEAR 2X SHARES | 25460E174 | ETF | 405 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 978 | $24,000 | thousands by filing date | |
| GREENLAND ACQUISITIN CORPORA | G40981139 | SHS | 2,406 | $24,000 | thousands by filing date | |
| STRONGVEST ETF TR | 863418109 | CWA INCOME | 920 | $24,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 4,270 | $23,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 600 | $23,000 | thousands by filing date | call |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,845 | $23,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 2,000 | $23,000 | thousands by filing date | call |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,506 | $23,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 993 | $23,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,055 | $23,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 743 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,371 | $23,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 2,868 | $23,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 2,482 | $23,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,328 | $23,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 1,735 | $23,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 1,557 | $23,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 1,597 | $23,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 904 | $23,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,416 | $23,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 5,747 | $23,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 1,296 | $23,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,309 | $23,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 6,128 | $23,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,650 | $23,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 5,949 | $23,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 10,397 | $23,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 5,723 | $23,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 12,966 | $23,000 | thousands by filing date | |
| LEO HOLDINGS CORP II-CLASS A | G5463L105 | CMN | 2,203 | $23,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 1,362 | $23,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760110 | UNIT 99/99/9999 | 2,197 | $23,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 2,229 | $23,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C203 | UNIT 99/99/9999 | 2,270 | $23,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | 61946M100 | COM CL A | 2,300 | $23,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 1,327 | $22,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P660 | FRANKLIN ASIA | 1,034 | $22,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 729 | $22,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 2,854 | $22,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,233 | $22,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,747 | $22,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 2,927 | $22,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 578 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,331 | $22,000 | thousands by filing date | |
| BRAINSWAY LTD | 10501L106 | CMN | 2,128 | $22,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 3,118 | $22,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 2,295 | $22,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 1,970 | $22,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 1,444 | $22,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 831 | $22,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 7,441 | $22,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,300 | $22,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 1,433 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 837 | $22,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 2,961 | $22,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 10,087 | $22,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 4,630 | $22,000 | thousands by filing date | |
| DANAHER CORPORATION | 235851300 | 4.75 MND CV PFD | 20 | $22,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 2,190 | $22,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 150,095 | $22,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 5,405 | $22,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 2,222 | $22,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 1,448 | $22,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872208 | UNIT 99/99/9999 | 2,106 | $22,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E233 | VELCTYSHS USDCHF | 1,040 | $22,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N206 | UNIT 04/30/2025 | 2,080 | $22,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,117 | $22,000 | thousands by filing date | |
| 8I ENTERPRISES ACQUISITIN CO | G2956M138 | UNIT 99/99/9999 | 2,125 | $22,000 | thousands by filing date | |
| SALT FDS TR | 79590A107 | SALT LOW TRUBE | 830 | $22,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L205 | UNIT 05/11/2025 | 2,100 | $22,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 3,765 | $21,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 732 | $21,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 5,162 | $21,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 1,779 | $21,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 1,118 | $21,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 7,790 | $21,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,186 | $21,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,634 | $21,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 2,063 | $21,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 11,171 | $21,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 62,216 | $21,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 1,500 | $21,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 4,163 | $21,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,712 | $21,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 1,125 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,526 | $21,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 576 | $21,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 2,994 | $21,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015503 | COM | 1,845 | $21,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 952 | $21,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J826 | MLTDCTR MEDIA | 797 | $21,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 2,823 | $21,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $21,000 | thousands by filing date | principal |
| JANUS DETROIT STR TR OBESITY ETF | 47103U506 | CEF | 620 | $21,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L204 | UNIT 99/99/9999 | 2,124 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 589 | $21,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 1,204 | $20,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 17,431 | $20,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 244 | $20,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 8,505 | $20,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 195 | $20,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 1,580 | $20,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 2,040 | $20,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 8,430 | $20,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 1,769 | $20,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 1,730 | $20,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 2,493 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 543 | $20,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 1,194 | $20,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 399 | $20,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 802 | $20,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 2,477 | $20,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 3,126 | $20,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,653 | $20,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 77,642 | $20,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 15,568 | $20,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 966 | $20,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 5,068 | $20,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 41,006 | $20,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 597 | $20,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 969 | $20,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 1,615 | $20,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,546 | $20,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 760 | $20,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505764 | CAPITAL LINK GBL | 729 | $20,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 1,501 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y533 | MSCI CHINA IT | 1,226 | $20,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,500 | $20,000 | thousands by filing date | |
| MICROSECTORS FANG INDEX -3X INVERSE LEVERAGED ETN | 063679864 | ETF | 868 | $20,000 | thousands by filing date | |
| EDTECHX HLDGS ACQUISITION CO | 28138X202 | UNIT 12/31/2025 | 1,913 | $20,000 | thousands by filing date | |
| INVESCO CURNCYSHS SWEDSH KRO | 46138V109 | SWEDISH KRONA | 198 | $20,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 21,676 | $19,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 730 | $19,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 2,421 | $19,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 4,999 | $19,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 3,196 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 315 | $19,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 4,500 | $19,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138J676 | BULLETSHS 2026 | 732 | $19,000 | thousands by filing date | |
| FIRST TR FD VI ETF FIRST TRUST SMID GROWTH STRENGTH | 33738R746 | ETF | 914 | $19,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 2,690 | $19,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 393 | $19,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 1,267 | $19,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 639 | $19,000 | thousands by filing date | |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 1,334 | $19,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P645 | FRANKLIN FTSE | 791 | $19,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 2,070 | $19,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 1,294 | $19,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 473 | $19,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 4,678 | $19,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 94,000 | $19,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 5,174 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 609 | $19,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 7,167 | $19,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 7,148 | $19,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 1,883 | $19,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108870 | AMPLIFY EMERGING | 723 | $19,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 2,885 | $19,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 1,804 | $19,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 9,661 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 1,227 | $19,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 2,006 | $19,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 355 | $19,000 | thousands by filing date | |
| WEIDAI LTD | 94861A108 | SPONS ADS | 2,080 | $19,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 1,867 | $19,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N202 | UNIT 05/11/2023 | 1,804 | $19,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 7,736 | $19,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 9,577 | $19,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C104 | CL A COM | 1,925 | $19,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 1,900 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 2,430 | $19,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 100 | $18,000 | thousands by filing date | put |
| EVERCORE INC CLASS A | 29977A105 | Stock | 200 | $18,000 | thousands by filing date | put |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 790 | $18,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 2,987 | $18,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 415 | $18,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 2,544 | $18,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 3,189 | $18,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 2,099 | $18,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 251 | $18,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,945 | $18,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 15,401 | $18,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,998 | $18,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L405 | CMN | 1,000 | $18,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 766 | $18,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 16,092 | $18,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 2,144 | $18,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 4,602 | $18,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 1,213 | $18,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 1,400 | $18,000 | thousands by filing date | |
| SYNTHORX INC COM | 87167A103 | Stock | 1,345 | $18,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 2,864 | $18,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 4,861 | $18,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 4,671 | $18,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 2,982 | $18,000 | thousands by filing date | |
| ETRACS CMCI SILVER TR ETN | 902641794 | CMN | 935 | $18,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 1,400 | $18,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 799 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 740 | $18,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 4,782 | $18,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 2,959 | $18,000 | thousands by filing date | |
| AKERNA CORP | 00973W110 | WTS | 6,188 | $18,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 2,195 | $18,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 442 | $18,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576200 | CL B | 1,243 | $18,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 11,596 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 810 | $18,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R200 | UNIT 01/07/2019 | 1,800 | $18,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U207 | UNIT 03/31/2021 | 1,747 | $18,000 | thousands by filing date | |
| EDTECHX HLDGS ACQUISITION CO | 28138X103 | COM | 1,800 | $18,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E828 | VELCTY 1X ETN 47 | 3,163 | $18,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P702 | LIBRT INT OPPT | 661 | $18,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 3,772 | $18,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 361 | $18,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 11,928 | $17,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 685 | $17,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 6,385 | $17,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 756 | $17,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 2,261 | $17,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,476 | $17,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 1,718 | $17,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 819 | $17,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 500 | $17,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 7,369 | $17,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 6,088 | $17,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 1,688 | $17,000 | thousands by filing date | |
| ISHARES TR | 46435G169 | RUSSELL 1000 US | 603 | $17,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 4,539 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 446 | $17,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 605 | $17,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $17,000 | thousands by filing date | principal |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 2,088 | $17,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 10,869 | $17,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 7,792 | $17,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 2,775 | $17,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 1,621 | $17,000 | thousands by filing date | |
| LUOKUNG TECHNOLOGY CORP | G56981106 | SHS | 2,765 | $17,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 1,004 | $17,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 3,915 | $17,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 4,743 | $17,000 | thousands by filing date | |
| INVESCO CURNCYSHS CHINESE RE | 46138X105 | CHINESE RENMIN | 242 | $17,000 | thousands by filing date | |
| TENZING ACQUISITION CORP | G8708A124 | UNIT 08/24/2024 | 1,591 | $17,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754205 | UNIT 99/99/9999 | 1,690 | $17,000 | thousands by filing date | |
| SUMMIT WIRELESS TECHNLGIES I | 86633R104 | COM | 14,643 | $17,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A206 | UNIT 02/28/2021 | 1,608 | $17,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 24,196 | $17,000 | thousands by filing date | |
| CHARDAN HEALTHCARE ACQUISITI | 15957A207 | UNIT 12/13/2023 | 1,661 | $17,000 | thousands by filing date | |
| JPMORGAN CHASE FINL CO LLC | 48129G703 | CUSHING MLP 37 | 1,011 | $17,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505798 | BERNSTEIN US RSH | 603 | $17,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 311 | $16,000 | thousands by filing date | |
| BRIDGEBIO PHARMA INC | 10806X102 | COM | 600 | $16,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 1,471 | $16,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 50 | $16,000 | thousands by filing date | call |
| LSB INDS INC | 502160104 | COM | 4,219 | $16,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C862 | INNOVATOR DEEPW | 680 | $16,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 1,137 | $16,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 4,453 | $16,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,512 | $16,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 3,076 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 232 | $16,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 3,497 | $16,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 2,388 | $16,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,217 | $16,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 2,720 | $16,000 | thousands by filing date | |
| ELTEK LTD | M40184208 | SHS | 3,698 | $16,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 3,608 | $16,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,145 | $16,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,514 | $16,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 5,352 | $16,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 9,939 | $16,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 5,146 | $16,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 4,913 | $16,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 3,120 | $16,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 54,217 | $16,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 1,540 | $16,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 1,540 | $16,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 20,675 | $16,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 5,158 | $16,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 12,118 | $16,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 7,126 | $16,000 | thousands by filing date | |
| GOLDMAN SACHS PHYSICAL GOLD ETF | 715426102 | UNIT | 1,119 | $16,000 | thousands by filing date | |
| PLANET GREEN HLDGS CORP | 72703U102 | COM | 3,446 | $16,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 8,523 | $16,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 1,832 | $16,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 2,146 | $16,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 32,683 | $16,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 11,749 | $16,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L121 | UNIT 99/99/9999 | 1,500 | $16,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E605 | MKT HLDGS I VELCTYSHS AUDUSD | 520 | $16,000 | thousands by filing date | |
| WCF BANCORP INC | 92940L103 | COM | 1,917 | $16,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 2,717 | $15,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 4,913 | $15,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 313 | $15,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 496 | $15,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 4,462 | $15,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 527 | $15,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 472 | $15,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q105 | SIMP AF WORL ETF | 673 | $15,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 843 | $15,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 3,171 | $15,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 2,190 | $15,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P603 | CMN | 600 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 446 | $15,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 250 | $15,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,505 | $15,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 19,117 | $15,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 1,064 | $15,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 2,931 | $15,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 2,188 | $15,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 1,241 | $15,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 4,500 | $15,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,000 | $15,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 1,648 | $15,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 1,540 | $15,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 2,682 | $15,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 12,761 | $15,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 4,998 | $15,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 763 | $15,000 | thousands by filing date | |
| 1895 BANCORP OF WIS INC COM | 28252W105 | Stock | 1,600 | $15,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U605 | ORGANICS ETF | 605 | $15,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 25,536 | $15,000 | thousands by filing date | |
| YANGTZE RIV PORT AND LGSTC L | 98475Y105 | COM | 27,052 | $15,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 2,974 | $15,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 332 | $15,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 15,000 | $15,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 8,749 | $15,000 | thousands by filing date | |
| ATIF HOLDINGS LIMITED | G0602B100 | SHS | 4,546 | $15,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 21,696 | $15,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 1,921 | $14,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 100 | $14,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 25,551 | $14,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 7,307 | $14,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 3,927 | $14,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 1,598 | $14,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 2,852 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 642 | $14,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,625 | $14,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 3,150 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E711 | CMN | 377 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y782 | EMGRING MKTS | 600 | $14,000 | thousands by filing date | |
| LISTED FDS TR | 53656F706 | ROUNDHILL VIDEO | 891 | $14,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 3,379 | $14,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,424 | $14,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G798 | VIRTUS PVT CR | 550 | $14,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 6,151 | $14,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,078 | $14,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 722 | $14,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X309 | COM | 22,846 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 468 | $14,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 8,725 | $14,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 1,062 | $14,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 3,542 | $14,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 5,500 | $14,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 56,553 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 707 | $14,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 84,463 | $14,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 10,978 | $14,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 9,470 | $14,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 8,458 | $14,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 5,845 | $14,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W204 | COM | 37,543 | $14,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 10,149 | $14,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 645 | $14,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 5,155 | $14,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q706 | COM PAR | 4,969 | $14,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 7,539 | $14,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 9,050 | $14,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 1,828 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 363 | $14,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 1,283 | $14,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 1,273 | $14,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 1,400 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X350 | SOLACTIVE GERMNY | 251 | $14,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CO | G3165V117 | UNIT 10/04/2023 | 1,316 | $14,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D424 | 2XLEVE ETRACS WF | 1,010 | $14,000 | thousands by filing date | |
| WEALTHBRIDGE ACQUISITION LTD | G4887W102 | UNIT 99/99/9999 | 1,400 | $14,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F403 | COM | 3,120 | $14,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 56,806 | $14,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A123 | UNIT 06/21/2023 | 1,330 | $14,000 | thousands by filing date | |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 1,071 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 442 | $13,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 600 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 400 | $13,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 622 | $13,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 378 | $13,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 6,860 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E495 | PURBTA 0 5 YR | 522 | $13,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 2,248 | $13,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 2,839 | $13,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,275 | $13,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 4,000 | $13,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 407 | $13,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 531 | $13,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 4,211 | $13,000 | thousands by filing date | |
| ORUKA THERAPEUTICS INC COM | 00211Y506 | Stock | 1,812 | $13,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 2,222 | $13,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 37,096 | $13,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 1,965 | $13,000 | thousands by filing date | |
| MOHAWK GROUP HLDGS INC | 608189106 | COM | 1,571 | $13,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 593 | $13,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,788 | $13,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 20,000 | $13,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 7,091 | $13,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 4,000 | $13,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 15,007 | $13,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 7,233 | $13,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 992 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 821 | $13,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 804 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 406 | $13,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 8,611 | $13,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 2,285 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 601 | $13,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E438 | RUSL 1000 ENHD | 455 | $13,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 1,834 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E877 | DLY JR GOLD 3X | 488 | $13,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W401 | COM | 4,548 | $13,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 4,158 | $13,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 1,380 | $13,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CL A ORD | 30734W109 | COM | 1,305 | $13,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 14,167 | $13,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q381 | BETABLDRS 1-5YR | 502 | $13,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 7,695 | $13,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 3,150 | $13,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 7,710 | $13,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788206 | UNIT 01/18/2023 | 1,254 | $13,000 | thousands by filing date | |
| VIVALDI OPPORTUNITIES FD | 92853C207 | Equity | 921 | $13,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 809 | $13,000 | thousands by filing date | |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 265 | $12,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 12,393 | $12,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 3,386 | $12,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 1,210 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 711 | $12,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 1,410 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G219 | INVESTMENT GRADE | 226 | $12,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 3,000 | $12,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 415 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 470 | $12,000 | thousands by filing date | |
| WORLDPAY INC | 981558109 | CL A | 100 | $12,000 | thousands by filing date | call |
| ALLOT LTD | M0854Q105 | SHS | 1,690 | $12,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 9,109 | $12,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 2,269 | $12,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 2,894 | $12,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 376 | $12,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 18,442 | $12,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 8,141 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P472 | FUND | 304 | $12,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 31,598 | $12,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 13,225 | $12,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,231 | $12,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 8,084 | $12,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,225 | $12,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 3,874 | $12,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 792 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 477 | $12,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 15,731 | $12,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 2,762 | $12,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 7,506 | $12,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 2,078 | $12,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 12,767 | $12,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 8,452 | $12,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 2,097 | $12,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 844 | $12,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 4,045 | $12,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 7,055 | $12,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 4,411 | $12,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BEAR 2X SHARES | 25460E554 | ETF | 292 | $12,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 6,983 | $12,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 3,504 | $12,000 | thousands by filing date | |
| Trovagene Inc | 897238606 | COM | 4,768 | $12,000 | thousands by filing date | |
| DROPBOX INC - CLASS A | G4027R104 | COM | 3,336 | $12,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 313 | $12,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 30,692 | $12,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 5,199 | $12,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 499 | $12,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 463 | $12,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 3,295 | $12,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 3,452 | $12,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 3,700 | $12,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 1,924 | $12,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784114 | UNIT 99/99/9999 | 1,200 | $12,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 64,387 | $12,000 | thousands by filing date | |
| NEOVASC INC | 64065J205 | COM NEW | 24,816 | $12,000 | thousands by filing date | |
| THUNDER BRIDGE ACQUISITION L | G8857R118 | UNIT 01/01/2025 | 1,100 | $12,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 723 | $12,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430271 | MANUFCTING REVL | 246 | $12,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260508 | COM NEW | 8,402 | $12,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 19,139 | $12,000 | thousands by filing date | |
| OPGEN INC | 68373L208 | COM NEW | 29,346 | $12,000 | thousands by filing date | |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 1,347 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051150 | XTRACKERS MSCI | 398 | $11,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 6,459 | $11,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1,993 | $11,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 2,843 | $11,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 13,605 | $11,000 | thousands by filing date | |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 599 | $11,000 | 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 |