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 |
|---|---|---|---|---|---|---|
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 563 | $11,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,058 | $11,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 2,250 | $11,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 1,488 | $11,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 3,327 | $11,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 855 | $11,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 836 | $11,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,411 | $11,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 10,915 | $11,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 965 | $11,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 5,484 | $11,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 675 | $11,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 910 | $11,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 3,219 | $11,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 2,284 | $11,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 15,716 | $11,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 3,146 | $11,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 662 | $11,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 2,228 | $11,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 9,220 | $11,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,616 | $11,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 2,478 | $11,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 2,608 | $11,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 5,651 | $11,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 15,496 | $11,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 2,819 | $11,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 26,067 | $11,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 8,158 | $11,000 | thousands by filing date | |
| REVIVA PHARMACEUTCLS HLDGS INC COM | G8708A116 | Stock | 1,100 | $11,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 1,317 | $11,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 5,540 | $11,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 3,448 | $11,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 1,654 | $11,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 845 | $11,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 3,274 | $11,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 17,429 | $11,000 | thousands by filing date | |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 1,227 | $11,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 1,082 | $11,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 1,172 | $11,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 1,395 | $11,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 6,386 | $11,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 932 | $11,000 | thousands by filing date | |
| Tuanche Limited | 89856T104 | American Depositary Shares | 3,748 | $11,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F201 | UNIT 06/12/2023 | 1,039 | $11,000 | thousands by filing date | |
| THESTREET INC COM NEW | 88368Q202 | Stock | 1,758 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 208 | $11,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 9,236 | $11,000 | thousands by filing date | |
| ACT II GLOBAL ACQUISITION CO | G0080J112 | UNIT 04/30/2026 | 1,100 | $11,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G730 | RUSL 1000 SIZE | 400 | $11,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612109 | SHS | 11,628 | $11,000 | thousands by filing date | |
| DPW HLDGS INC | 26140E501 | COM NEW | 36,887 | $11,000 | thousands by filing date | |
| GROCERY OUTLET HLDG CORP COM | 39874R101 | Stock | 295 | $10,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 1,691 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 194 | $10,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 3,501 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A594 | AAM S&P 500 | 363 | $10,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1,889 | $10,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 2,058 | $10,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 5,837 | $10,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 9,415 | $10,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,946 | $10,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 14,620 | $10,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 398 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 313 | $10,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 4,015 | $10,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 1,000 | $10,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 7,312 | $10,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 5,066 | $10,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 3,285 | $10,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 5,281 | $10,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,085 | $10,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,555 | $10,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 8,151 | $10,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 315 | $10,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 6,000 | $10,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 3,180 | $10,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 3,707 | $10,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 3,586 | $10,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,024 | $10,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 2,494 | $10,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 1,998 | $10,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 2,216 | $10,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $10,000 | thousands by filing date | principal |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 36,261 | $10,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 8,528 | $10,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 3,607 | $10,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 14,910 | $10,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 11,190 | $10,000 | thousands by filing date | |
| MDJM LTD | G59290109 | SHS | 4,066 | $10,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 2,655 | $10,000 | thousands by filing date | |
| TIDAL ETF TR | 886364207 | SOFI SELCT 500 | 1,009 | $10,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 5,277 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E125 | DAILY SM CP BEAR | 225 | $10,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 10,000 | $10,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 3,619 | $10,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931602 | COM NEW | 11,800 | $10,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 27,029 | $10,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 3,131 | $10,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 2,910 | $10,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 1,864 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 280 | $10,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 42,559 | $10,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N301 | UNIT 12/31/2023 | 931 | $10,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F102 | COM CL A | 1,000 | $10,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 450 | $10,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| INVESCO EXCH TRD SLF IDX FD | 46138J684 | BULLSHS 21 USD | 400 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 616 | $10,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CO COM | 80821R109 | Stock | 1,000 | $10,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 925 | $10,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076100 | COM CLASS A | 1,000 | $10,000 | thousands by filing date | |
| TIGERSHARES TR | 88680T108 | UP FINTC CHIN US | 349 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X222 | GBL MXC EQT FD | 338 | $10,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 39,040 | $10,000 | thousands by filing date | |
| BLACK RIDGE ACQUISITION CORP | 09216T123 | RIGHT 07/10/2019 | 23,272 | $10,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 406 | $10,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 520 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 564 | $9,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 1,189 | $9,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 3,719 | $9,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 3,857 | $9,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 11,809 | $9,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 1,583 | $9,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 610 | $9,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 3,314 | $9,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 3,565 | $9,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,667 | $9,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,129 | $9,000 | thousands by filing date | |
| WAH FU EDUCATION GROUP LIMIT | G94184101 | SHS | 2,989 | $9,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 350 | $9,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 312 | $9,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 28,149 | $9,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 499 | $9,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 26,438 | $9,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 4,527 | $9,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 6,403 | $9,000 | thousands by filing date | |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 5,113 | $9,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 2,334 | $9,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 3,554 | $9,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 2,215 | $9,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 2,917 | $9,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 6,164 | $9,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 30,259 | $9,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,998 | $9,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 14,052 | $9,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 4,164 | $9,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641810 | CMCI GOLD ETN | 267 | $9,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 3,452 | $9,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,434 | $9,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 1,186 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J692 | STRG EMERG ETF | 340 | $9,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 1,059 | $9,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 8,006 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 8,168 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 354 | $9,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 324 | $9,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 5,858 | $9,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 4,517 | $9,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 15,032 | $9,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 2,563 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745T368 | ETF | 300 | $9,000 | thousands by filing date | |
| LINX S A | 53619W101 | SPONSORED ADS | 1,029 | $9,000 | thousands by filing date | |
| COMMAND CENTER INC | 200497204 | COM NEW | 1,519 | $9,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 45,838 | $9,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 900 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y355 | DLY DEV MKT BEAR | 714 | $9,000 | thousands by filing date | |
| USAA ETF TR | 90291F402 | MSCI EMRG MKTS | 211 | $9,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 900 | $9,000 | thousands by filing date | |
| PIVOTAL ACQUISITION CORP | 72583A200 | UNIT 12/01/2025 | 741 | $9,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 120 | $8,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 306 | $8,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 755 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 379 | $8,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 2 | $8,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 130 | $8,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 82 | $8,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 11,040 | $8,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 1,103 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 275 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 132 | $8,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 942 | $8,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 1,135 | $8,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E780 | CMN | 300 | $8,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E166 | ETRACS MNTHLY B | 434 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 294 | $8,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 2,064 | $8,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 694 | $8,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 321 | $8,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 4,615 | $8,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,495 | $8,000 | thousands by filing date | |
| COLLPLANT BIOTECHNOLOGIES LTD SHS NEW | 19516R107 | Stock | 1,783 | $8,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 2,507 | $8,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 1,994 | $8,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 1,992 | $8,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 5,948 | $8,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 10,280 | $8,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 5,724 | $8,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 4,240 | $8,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,500 | $8,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 7,224 | $8,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 615 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 300 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 290 | $8,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 3,741 | $8,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 717 | $8,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $8,000 | thousands by filing date | principal |
| ALTERITY THERAPEUTICS LTD | 02155X106 | SPONSORED ADR | 6,339 | $8,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 224 | $8,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 3,370 | $8,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 2,966 | $8,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 2,627 | $8,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 20,085 | $8,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 4,324 | $8,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 4,338 | $8,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 7,421 | $8,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T266 | XLINK CRD ETN37 | 366 | $8,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 4,220 | $8,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W208 | UNIT 06/01/2025 | 747 | $8,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R114 | UNIT 06/21/2023 | 750 | $8,000 | thousands by filing date | |
| Reebonz Holding Limited | G7457R122 | SHS | 2,005 | $8,000 | thousands by filing date | |
| VALERITAS HOLDINGS INC | 91914N301 | COM | 3,170 | $8,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 24,225 | $8,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 2,421 | $8,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 280 | $7,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 246 | $7,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,923 | $7,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 2,000 | $7,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 1,387 | $7,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 149 | $7,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 3,167 | $7,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 608 | $7,000 | thousands by filing date | |
| NEW YORK LIFE INVTS ACTIVE E | 45409F843 | MACK MU INSD ETF | 279 | $7,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 1,545 | $7,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 561 | $7,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 16,527 | $7,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 7,987 | $7,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 6,231 | $7,000 | thousands by filing date | |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 1,340 | $7,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 122 | $7,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 5,069 | $7,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 3,058 | $7,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 3,528 | $7,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 2,251 | $7,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 258 | $7,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 955 | $7,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 8,185 | $7,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 3,690 | $7,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 4,000 | $7,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 10,300 | $7,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,197 | $7,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 2,901 | $7,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 4,122 | $7,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 552 | $7,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 21,110 | $7,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 569 | $7,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 4,401 | $7,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 9,422 | $7,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 433 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 204 | $7,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 1,753 | $7,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 30,970 | $7,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 7,748 | $7,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 552 | $7,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 50,844 | $7,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,065 | $7,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 11,002 | $7,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| EDESA BIOTECH INC | 27966L108 | COM | 966 | $7,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 6,532 | $7,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 9,590 | $7,000 | thousands by filing date | |
| DOGNESS INTERNATIONAL CORP | G2788T103 | COM CL A | 2,524 | $7,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 278 | $7,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 4,401 | $7,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 26,745 | $7,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 2,850 | $7,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 14,438 | $7,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 236 | $7,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC | 29273B112 | *W EXP 05/08/202 | 10,510 | $7,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 6,925 | $7,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 44,636 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E653 | DLY EUR STX 3X | 352 | $7,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 12,100 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 317 | $7,000 | thousands by filing date | |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 1,282 | $7,000 | thousands by filing date | |
| LM FDG AMER INC COM NEW | 502074305 | Stock | 5,912 | $7,000 | thousands by filing date | |
| XPRESSPA GROUP INC COM NEW | 98420U604 | Stock | 3,385 | $7,000 | thousands by filing date | |
| CAMBRIA ETF TR CORE EQUITY | 132061854 | CEF | 254 | $7,000 | thousands by filing date | |
| CHINA SXT PHARMACEUTICALS IN | G2161P108 | ORD SHS | 1,971 | $7,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q811 | LONG SHORT ETF | 318 | $7,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 1,960 | $7,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90270L354 | SER B LKD 46 | 190 | $7,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 38,553 | $7,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G722 | RUSL 1000 VALU | 250 | $7,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 16,252 | $7,000 | thousands by filing date | |
| MANAGED PORTFOLIO SER | 56167N555 | TORTOISE CLOUD | 243 | $7,000 | thousands by filing date | |
| REALM THERAPEUTICS PLC | 75606L103 | SPONSORED ADS | 2,558 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 76 | $6,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,917 | $6,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 1,462 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 122 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 224 | $6,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 332 | $6,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 393 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 223 | $6,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 2,150 | $6,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 3,425 | $6,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 3,373 | $6,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 291 | $6,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 5,347 | $6,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 839 | $6,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 300 | $6,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 5,449 | $6,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 416 | $6,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,000 | $6,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 529 | $6,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 659 | $6,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 2,006 | $6,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 1,240 | $6,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 280 | $6,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 3,700 | $6,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 7,798 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 175 | $6,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 6,000 | $6,000 | thousands by filing date | principal |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 1,469 | $6,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 531 | $6,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 6,518 | $6,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 3,705 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 75 | $6,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 250 | $6,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 6,184 | $6,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 370 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $6,000 | thousands by filing date | principal |
| SOLIGENIX INC | 834223307 | COM | 7,848 | $6,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 13,200 | $6,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 7,072 | $6,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 225 | $6,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 1,250 | $6,000 | thousands by filing date | |
| Natixis Loomis Sayles Short Duration Income ETF | 63873X208 | ETP | 230 | $6,000 | thousands by filing date | |
| DIREXION DAILY REAL ESTATE BEAR 3X SHARES | 25460E141 | ETF | 187 | $6,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 8,645 | $6,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 10,591 | $6,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 8,469 | $6,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 500 | $6,000 | thousands by filing date | |
| CHEMOMAB THERAPEUTICS LTD SPONSORED ADS | 03280X102 | ADR | 1,418 | $6,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N808 | VICOTRYSHS EMG | 232 | $6,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L100 | US EQT CUM 2027 | 461 | $6,000 | thousands by filing date | |
| CAPITOL INVT CORP IV | G18920119 | UNIT 99/99/9999 | 600 | $6,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 8,275 | $6,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 5,613 | $6,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 1,000 | $6,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 5,442 | $6,000 | thousands by filing date | |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 4,716 | $6,000 | thousands by filing date | |
| ENVISION SOLAR INTL INC | 29413Q201 | COM | 1,197 | $6,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392109 | COM | 65,102 | $6,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 11,610 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051465 | XTRCK BRCLY INTL | 112 | $6,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 3,000 | $5,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 411 | $5,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 310 | $5,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 615 | $5,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,267 | $5,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 1,209 | $5,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 903 | $5,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 280 | $5,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 1,578 | $5,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 1,032 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 201 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 143 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B573 | CMN | 78 | $5,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 3,756 | $5,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,100 | $5,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 1,866 | $5,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 4,556 | $5,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 1,297 | $5,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 542 | $5,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 1,129 | $5,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 15,065 | $5,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 170 | $5,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 429 | $5,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 865 | $5,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 1,735 | $5,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 1,500 | $5,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 505 | $5,000 | thousands by filing date | |
| CNFINANCE HLDGS LTD | 18979T105 | SPON ADS | 899 | $5,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 1,543 | $5,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 1,339 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,000 | $5,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 1,248 | $5,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 5,748 | $5,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 3,288 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 96 | $5,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 1,005 | $5,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 3,525 | $5,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 5,074 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 69 | $5,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 4,483 | $5,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 2,112 | $5,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 2,673 | $5,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 2,104 | $5,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 1,703 | $5,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 6,025 | $5,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 3,973 | $5,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 3,023 | $5,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 200 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 270 | $5,000 | thousands by filing date | |
| MEDIGUS LTD SPON ADS NEW | 58471G300 | ADR | 1,954 | $5,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 1,184 | $5,000 | thousands by filing date | |
| ADVISORSHARES NEW TECH AND MEDIA ETF | 00768Y552 | ETF | 403 | $5,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 1,130 | $5,000 | thousands by filing date | |
| FFBW INC | 30258M107 | COM | 521 | $5,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 6,391 | $5,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 500 | $5,000 | thousands by filing date | |
| TRIDENT ACQUISITIONS CORP | 89615T205 | UNIT 05/09/2023 | 470 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 2,862 | $5,000 | thousands by filing date | |
| INVESCO EXCHANGETRADED FD T RUSL 1000 MOMT | 46138G755 | Stock | 186 | $5,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N107 | COM CL A | 500 | $5,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 3,496 | $5,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 99 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q860 | EVENT DRIVEN | 200 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 196 | $5,000 | thousands by filing date | |
| USAA ETF TR | 90291F501 | CORE SHRT BD | 106 | $5,000 | thousands by filing date | |
| XYNOMIC PHARMACUTCLS HLDNG I | 98421X102 | COM | 1,357 | $5,000 | thousands by filing date | |
| SAFE T GROUP LTD | 78643B302 | SPONSORED ADS | 3,098 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 193 | $5,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E109 | COM | 500 | $5,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 11,195 | $5,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 324 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P678 | FTSE UNTD KGDM | 150 | $4,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 102 | $4,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 409 | $4,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 4,810 | $4,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 526 | $4,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 272 | $4,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 1,433 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 201 | $4,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 450 | $4,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 4,414 | $4,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM | 063679856 | 2X LEVERAGED | 100 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092725 | INT HG DIV ETF | 192 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 125 | $4,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 2,058 | $4,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 2,389 | $4,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,010 | $4,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 380 | $4,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 203 | $4,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,885 | $4,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 597 | $4,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 3,013 | $4,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 4,000 | $4,000 | thousands by filing date | principal |
| SIERRA METALS INC | 82639W106 | COM | 2,858 | $4,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 3,000 | $4,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,634 | $4,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,300 | $4,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 3,647 | $4,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 1,181 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P431 | FUND | 78 | $4,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 4,440 | $4,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 4,092 | $4,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 9,389 | $4,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 233 | $4,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 187 | $4,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 1,310 | $4,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 3,360 | $4,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 3,550 | $4,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,000 | $4,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 2,649 | $4,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 1,779 | $4,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K112 | *W EXP 02/12/202 | 8,757 | $4,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 2,201 | $4,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 7,116 | $4,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 13,177 | $4,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K402 | COM PAR | 17,152 | $4,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 1,100 | $4,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 2,443 | $4,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 7,404 | $4,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 398 | $4,000 | thousands by filing date | |
| POWERBRIDGE TECHNLOGIES CO LTD ORD SHS | G72007100 | ORD SHS | 1,108 | $4,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 1,478 | $4,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C509 | COM NEW | 866 | $4,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 298 | $4,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 2,246 | $4,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 5,310 | $4,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 5,411 | $4,000 | thousands by filing date | |
| FORUM MERGER II CORP | 34986F202 | UNIT 09/30/2025 | 347 | $4,000 | thousands by filing date | |
| BLACK RIDGE ACQUISITION CORP | 09216T206 | UNIT 10/05/2022 | 400 | $4,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 9,363 | $4,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 1,679 | $4,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| NAKED BRAND GROUP LIMITED | Q6519T109 | ORD SHS | 28,527 | $4,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076209 | UNIT 03/12/2025 | 363 | $4,000 | thousands by filing date | |
| RUHNN HLDG LTD | 781314109 | ADS | 1,100 | $4,000 | thousands by filing date | |
| CASTOR MARITIME INC | Y1146L109 | SHS | 838 | $4,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC COM | 67778H309 | Stock | 1,199 | $4,000 | thousands by filing date | |
| TAOPING INC COM | G8675V101 | Stock | 4,938 | $4,000 | thousands by filing date | |
| WORLD GOLD TR SPDR LNG DLR GLD | 98149E105 | CEF | 26 | $4,000 | 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 |