13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 8,098 holding rows worth $259,766,458,000.
- Accession
- 0000950123-19-010978
- Filer
- CIK 1610520
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 13,771 entries on the cover page, a total value of $259,766,458,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $259,766,430,000 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 TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 3,130 | $148,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 9,491 | $148,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 4,106 | $148,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 14,949 | $148,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 4,900 | $147,000 | thousands by filing date | call |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 10,688 | $147,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 13,555 | $147,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 14,457 | $147,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 8,459 | $147,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 23,476 | $147,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 711 | $147,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 6,281 | $147,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 14,573 | $147,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 4,796 | $146,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 16,855 | $146,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N568 | USAA MSCI USA SM | 2,905 | $146,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,224 | $146,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 14,046 | $146,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 900 | $145,000 | thousands by filing date | put |
| VERMILION ENERGY INC COM | 923725105 | Stock | 8,651 | $145,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 3,077 | $145,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 25,467 | $145,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W598 | BLOOMBERG ROLL | 3,282 | $145,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 25,643 | $145,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 130,552 | $145,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 900 | $144,000 | thousands by filing date | put |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 24,895 | $144,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 25,498 | $144,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 91,996 | $144,000 | thousands by filing date | |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 4,115 | $144,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 19,852 | $143,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 9,531 | $143,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 13,561 | $143,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 3,669 | $143,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 2,581 | $143,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 2,437 | $143,000 | thousands by filing date | |
| VICTORYSHARES U S | 92647N576 | MF Closed and MF Open | 2,787 | $143,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 1,911 | $143,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 6,389 | $142,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 28,638 | $142,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 13,237 | $141,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 4,854 | $141,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E661 | CMN | 2,354 | $141,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 28,116 | $141,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 13,742 | $141,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,400 | $140,000 | thousands by filing date | put |
| EGAIN CORP | 28225C806 | COM NEW | 17,555 | $140,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 54,218 | $140,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 11,928 | $140,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 2,082 | $139,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 4,403 | $139,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 9,526 | $139,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 6,108 | $139,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 2,042 | $139,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 41,404 | $139,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 41,561 | $139,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 18,714 | $138,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 9,199 | $138,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 18,975 | $138,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 8,545 | $138,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 3,800 | $138,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 6,552 | $138,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 7,362 | $138,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 9,318 | $137,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 14,905 | $137,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 39,895 | $137,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 523,468 | $137,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 9,404 | $136,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 60,000 | $136,000 | thousands by filing date | call |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 14,987 | $136,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 4,550 | $136,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 22,365 | $136,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 3,973 | $135,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 15,091 | $135,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 3,430 | $135,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 3,295 | $135,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 13,147 | $135,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 8,972 | $135,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 40,929 | $135,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 1,098 | $135,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 6,840 | $135,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 11,101 | $134,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 15,028 | $134,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 3,900 | $133,000 | thousands by filing date | call |
| V F CORP COM | 918204108 | Stock | 1,500 | $133,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 3,641 | $133,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 12,757 | $133,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 2,253 | $133,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 795 | $133,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 10,500 | $133,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 2,316 | $133,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 21,517 | $133,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 8,127 | $133,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 14,424 | $132,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 25,091 | $132,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 10,453 | $132,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 9,228 | $132,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 16,979 | $132,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 6,074 | $131,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 12,475 | $131,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 6,911 | $131,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 1,500 | $130,000 | thousands by filing date | put |
| NATIONAL VISION HLDGS INC COM | 63845R107 | Stock | 5,401 | $130,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 3,312 | $130,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 13,741 | $130,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 1,484 | $130,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 20,337 | $130,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 10,388 | $130,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 6,892 | $130,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 5,460 | $130,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 16,499 | $130,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 1,929 | $130,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 9,761 | $129,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 24,710 | $129,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 37,652 | $129,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 66,800 | $129,000 | thousands by filing date | call |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 28,532 | $128,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 11,581 | $128,000 | thousands by filing date | |
| SPDR SER TR | 78468R119 | S&P TECH H | 1,702 | $128,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 27,575 | $127,000 | thousands by filing date | call |
| NETGEAR INC | 64111Q104 | COM | 3,944 | $127,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 2,950 | $127,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 9,117 | $127,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 9,076 | $127,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 827 | $126,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 2,989 | $126,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 31,533 | $126,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 6,698 | $125,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 7,309 | $125,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 8,850 | $125,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 6,111 | $125,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 36,641 | $125,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 34,927 | $125,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 15,814 | $124,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 8,376 | $124,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 24,689 | $124,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 5,964 | $124,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 10,711 | $124,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 23,891 | $124,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 11,129 | $124,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 3,220 | $124,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 33,428 | $123,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 6,528 | $123,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 22,828 | $123,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 12,582 | $123,000 | thousands by filing date | |
| SYNTHORX INC COM | 87167A103 | Stock | 7,578 | $123,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 64,438 | $123,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 3,780 | $122,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 2,100 | $122,000 | thousands by filing date | put |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 9,543 | $122,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 8,653 | $122,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 24,675 | $122,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539U107 | FI ENHNCD EUR 50 | 1,337 | $122,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 9,522 | $121,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 18,168 | $121,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 5,039 | $121,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 37,110 | $120,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 13,582 | $120,000 | thousands by filing date | principal |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 3,318 | $120,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 3,279 | $120,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 7,997 | $120,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 12,707 | $120,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 7,457 | $120,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 5,027 | $120,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 12,265 | $120,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 5,696 | $120,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 5,775 | $120,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 18,499 | $120,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 12,733 | $120,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 2,282 | $119,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 2,888 | $119,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 8,592 | $119,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 23,342 | $119,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 14,480 | $119,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 2,900 | $118,000 | thousands by filing date | put |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 11,022 | $118,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 13,855 | $118,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 2,366 | $118,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 7,433 | $118,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 4,320 | $118,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 4,896 | $118,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 38,199 | $118,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 4,613 | $118,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 9,446 | $118,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 300 | $117,000 | thousands by filing date | put |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 43,789 | $117,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 11,051 | $117,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 2,508 | $117,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 1,811 | $117,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 36,714 | $117,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 2,608 | $117,000 | thousands by filing date | |
| FIRST SEACOAST BANCORP | 33631P102 | COM | 12,474 | $117,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 13,584 | $117,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 18,232 | $116,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 2,000 | $116,000 | thousands by filing date | call |
| WISDOMTREE INC | 97717P104 | COM | 22,079 | $116,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 5,680 | $116,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 1,556 | $116,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 8,149 | $116,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 6,324 | $116,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 3,767 | $115,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 6,772 | $115,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 3,210 | $115,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 9,059 | $115,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 4,757 | $114,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 6,908 | $114,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 5,905 | $114,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 1,609 | $114,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 8,948 | $114,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 5,000 | $113,000 | thousands by filing date | put |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 28,661 | $113,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 2,824 | $113,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 4,817 | $113,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 4,337 | $113,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 35,364 | $112,000 | thousands by filing date | |
| DESIGNER BRANDS INC | 250565108 | CL A | 6,554 | $112,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 44,385 | $112,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 6,903 | $112,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 7,271 | $112,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 7,333 | $112,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 36,160 | $111,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 2,214 | $111,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 2,791 | $111,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 14,218 | $111,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G748 | RUSL 1000 QTLY | 3,796 | $111,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 11,934 | $110,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 13,099 | $110,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 5,064 | $110,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 6,974 | $110,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 9,210 | $110,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 3,265 | $110,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 3,039 | $109,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 7,736 | $109,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 40,170 | $109,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 12,394 | $109,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 4,136 | $109,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 1,610 | $109,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 8,127 | $109,000 | thousands by filing date | |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 1,001 | $109,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 10,679 | $108,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 7,685 | $108,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 12,282 | $108,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 12,449 | $108,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 2,173 | $108,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430297 | HUMAN EVOLUTION | 2,203 | $108,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 3,927 | $107,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 30,159 | $107,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 11,966 | $106,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 82,130 | $106,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 500 | $105,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 3,088 | $105,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 3,099 | $105,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 4,280 | $105,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 4,231 | $105,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 7,439 | $105,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 83 | $105,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y805 | ETF | 6,255 | $105,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 6,207 | $104,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 2,970 | $104,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 12,287 | $104,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 5,178 | $104,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 9,985 | $104,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 894 | $103,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 10,789 | $103,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 24,282 | $103,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 66,626 | $103,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L209 | US EQT EX 2027 | 1,668 | $103,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 3,151 | $102,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 4,857 | $102,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 947 | $102,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 40,057 | $102,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 8,921 | $102,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 2,960 | $102,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 12,368 | $102,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 13,008 | $101,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,282 | $101,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 5,940 | $101,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 37,048 | $101,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P449 | FUND | 2,547 | $101,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 4,518 | $100,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 3,729 | $100,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 11,183 | $100,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 59,877 | $100,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 12,876 | $100,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 5,539 | $99,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 3,455 | $99,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 9,375 | $99,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 58,294 | $99,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 6,623 | $99,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 6,922 | $99,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 1,866 | $99,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 47,051 | $99,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 8,349 | $99,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 3,449 | $98,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 6,069 | $98,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 7,217 | $98,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 1,260 | $98,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 18,727 | $97,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 3,445 | $97,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 43,512 | $96,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 9,121 | $96,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 5,325 | $96,000 | thousands by filing date | |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 5,813 | $96,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 31,700 | $96,000 | thousands by filing date | put |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 1,519 | $95,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 10,807 | $95,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 8,761 | $95,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 2,913 | $95,000 | thousands by filing date | |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 4,653 | $94,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 1,666 | $94,000 | thousands by filing date | principal |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 7,881 | $94,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 66,091 | $94,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 54,184 | $94,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,975 | $94,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 3,000 | $94,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 4,873 | $94,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 400 | $93,000 | thousands by filing date | put |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 1,003 | $93,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R108 | BBG COMMD K 1 | 3,949 | $93,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 6,513 | $93,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 8,792 | $93,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 82,729 | $93,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 3,332 | $93,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 1,479 | $92,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 4,961 | $92,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 7,460 | $92,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 23,712 | $92,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 8,993 | $92,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 1,823 | $92,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 20,014 | $91,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 3,333 | $91,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 10,891 | $91,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 31,699 | $91,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 6,003 | $91,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 17,706 | $91,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 43,006 | $91,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 1,651 | $91,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 5,755 | $90,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 5,950 | $90,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 1,380 | $90,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 1,771 | $90,000 | thousands by filing date | principal |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 2,885 | $90,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 51,216 | $90,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 6,938 | $90,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 44,097 | $90,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 14,256 | $90,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 14,163 | $90,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 930 | $90,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 17,668 | $89,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 2,222 | $89,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 13,244 | $89,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 1,683 | $89,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 10,000 | $89,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 22,857 | $89,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 6,207 | $88,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 5,260 | $88,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 22,106 | $88,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 5,544 | $88,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 5,553 | $87,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 4,755 | $87,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 27,606 | $87,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 4,574 | $87,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746Q256 | ENHANCED EURP C | 921 | $87,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 1,500 | $86,000 | thousands by filing date | call |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 4,200 | $86,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 5,960 | $86,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 5,888 | $86,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 2,906 | $86,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 1,199 | $86,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 74,940 | $86,000 | thousands by filing date | |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 5,100 | $85,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 818 | $85,000 | thousands by filing date | |
| ENLIVEX LTD | M4130Y106 | CMN | 3,181 | $85,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 35,376 | $85,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 19,703 | $85,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 773 | $84,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 11,013 | $84,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 6,293 | $84,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 5,263 | $84,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 12,369 | $84,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 8,659 | $84,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 9,143 | $84,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 3,100 | $84,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y651 | NORTH SQUA MCKE | 845 | $84,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 1,751 | $83,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 17,562 | $83,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 9,949 | $83,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 71,911 | $83,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 10,641 | $83,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 2,479 | $83,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 8,596 | $83,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 3,462 | $83,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 4,821 | $82,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 30,927 | $82,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 3,261 | $82,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 83,573 | $82,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 2,908 | $82,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 11,251 | $82,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 12,749 | $82,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 6,589 | $82,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 67,749 | $82,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 2,144 | $82,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K166 | DAILY EUROPEAN | 3,180 | $82,000 | thousands by filing date | |
| INVESCO CURNCYSHS SNGPORE DL | 46138Y103 | SINGAPORE DLR | 1,155 | $82,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 6,935 | $81,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 5,438 | $81,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 9,135 | $81,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 16,906 | $81,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 13,456 | $81,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 137,538 | $81,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y301 | Cmn | 3,363 | $81,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 18,302 | $80,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 625 | $80,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 3,330 | $80,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 1,488 | $80,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 2,123 | $80,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 1,383 | $80,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 1,390 | $80,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 9,364 | $80,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 13,058 | $80,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 1,851 | $80,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 2,670 | $80,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 3,610 | $80,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 25,883 | $79,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 5,219 | $79,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 8,690 | $79,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 5,000 | $78,000 | thousands by filing date | put |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 2,662 | $78,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 70,705 | $78,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 5,694 | $78,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,067 | $78,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 14,853 | $78,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 9,961 | $78,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 3,148 | $78,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 3,118 | $77,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 2,635 | $77,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 2,391 | $77,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 8,724 | $77,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 1,047 | $77,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,912 | $77,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 11,993 | $77,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 38,253 | $77,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 20,218 | $77,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 4,043 | $76,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 7,604 | $76,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 3,252 | $76,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 46,443 | $76,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 2,475 | $76,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 4,018 | $76,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 161,052 | $76,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 9,244 | $76,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25460E539 | ETF | 3,014 | $76,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 33,776 | $76,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 660 | $75,000 | thousands by filing date | call |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 600 | $75,000 | thousands by filing date | put |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 6,345 | $75,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 3,306 | $75,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 12,429 | $75,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 1,361 | $75,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 2,242 | $75,000 | thousands by filing date | |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 4,004 | $75,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 2,442 | $75,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 67,503 | $75,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P205 | UNIT 09/01/2024 | 7,405 | $75,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 15,469 | $74,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 1,854 | $74,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 8,146 | $74,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 1,779 | $74,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 3,953 | $74,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 6,813 | $74,000 | thousands by filing date | |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 2,680 | $74,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 3,064 | $74,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 5,544 | $73,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 24,078 | $73,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 3,600 | $73,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 5,659 | $73,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 2,202 | $73,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 60,801 | $73,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 5,961 | $73,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 11,916 | $73,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 3,563 | $73,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 5,000 | $73,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 4,728 | $72,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 3,291 | $72,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 429 | $72,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,861 | $72,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 51,000 | $72,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 9,191 | $72,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 3,353 | $72,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 600 | $71,000 | thousands by filing date | put |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 1,648 | $71,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 12,281 | $71,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 2,175 | $71,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 3,089 | $71,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 24,334 | $71,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 21,816 | $71,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 2,632 | $71,000 | thousands by filing date | |
| DBX ETF TR | 233051473 | XTRCK BRCLY TRSY | 1,327 | $71,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 500 | $70,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 2,403 | $70,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-010978 | this filing | 2019-11-14 | acceptance time not in the bulk data set |