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 |
|---|---|---|---|---|---|---|
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 2,097 | $70,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 13,213 | $70,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 8,500 | $70,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 13,821 | $70,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 14,722 | $70,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 7,208 | $70,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 8,953 | $70,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E877 | DLY JR GOLD 3X | 3,947 | $70,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 2,558 | $70,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 1,103 | $69,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 27,934 | $69,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 990 | $69,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 21,206 | $69,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 6,340 | $69,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A529 | NYSE PICKENS | 3,392 | $69,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 800 | $68,000 | thousands by filing date | put |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 4,154 | $68,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 10,412 | $68,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 4,335 | $68,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 1,603 | $68,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 839 | $68,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 3,840 | $68,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P806 | RIVRFRNT DYN EUR | 1,174 | $68,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 6,324 | $68,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 16,218 | $68,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 3,712 | $68,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 5,052 | $68,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 57,712 | $68,000 | thousands by filing date | |
| ETF SER SOLUTIONS APTUS FORTIFIED | 26922A610 | Stock | 2,615 | $68,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C208 | UNIT 09/01/2026 | 6,800 | $68,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 3,099 | $68,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E828 | DAILY RUSSIA 3X | 6,363 | $68,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 2,766 | $68,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 300 | $67,000 | thousands by filing date | put |
| VANGUARD WELLINGTON FD | 921935805 | US VALUE FACTR | 927 | $67,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 131,363 | $67,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 1,906 | $67,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 44,365 | $67,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 5,000 | $67,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 7,505 | $67,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 1,342 | $67,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 37,347 | $66,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 5,388 | $66,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 7,160 | $66,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L363 | CMN | 2,207 | $66,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 3,282 | $66,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 6,820 | $66,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 185,401 | $66,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 3,936 | $66,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 36,582 | $66,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y355 | DLY DEV MKT BEAR | 5,345 | $66,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 4,194 | $65,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 2,039 | $65,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 1,296 | $65,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 1,379 | $65,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 1,391 | $65,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 5,210 | $65,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 2,499 | $65,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W614 | GOLD STRATEGY | 1,166 | $65,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 9,130 | $65,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E802 | DLY RGNAL BKS 3X | 2,523 | $65,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 300 | $64,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F130 | REAL ASSETS ETF | 2,544 | $64,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE VALUE ETF | 02072L201 | ETF | 2,361 | $64,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 14,671 | $64,000 | thousands by filing date | |
| GS FIN CORP | 362273302 | MEDIUM TERM NTS | 531 | $64,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 400 | $63,000 | thousands by filing date | put |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 3,356 | $63,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 704 | $63,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 6,833 | $63,000 | thousands by filing date | |
| MOTLEY FOOL SMALL-CAP GROWTH ETF | 74933W874 | ETF | 2,819 | $63,000 | thousands by filing date | |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 1,318 | $63,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 1,197 | $63,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 3,151 | $63,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 14,459 | $63,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 2,940 | $63,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C508 | US EQTY PWR BUF | 2,227 | $62,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 7,469 | $62,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 16,848 | $62,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138J676 | BULLETSHS 2026 | 2,400 | $62,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 1,777 | $62,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 868 | $62,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 5,617 | $62,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 13,725 | $62,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 2,258 | $62,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 30,797 | $62,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 7,443 | $61,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 11,817 | $61,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 642 | $61,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 12,968 | $61,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 2,217 | $61,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 3,785 | $61,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 9,872 | $61,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 1,760 | $61,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 60,000 | $61,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 79,835 | $61,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 1,811 | $61,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P107 | mc | 1,075 | $61,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 2,624 | $60,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 400 | $60,000 | thousands by filing date | put |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 600 | $60,000 | thousands by filing date | put |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 5,968 | $60,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 4,019 | $60,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 5,479 | $60,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 4,307 | $60,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 6,155 | $60,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 2,346 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 2,629 | $60,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 1,618 | $60,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 78,000 | $60,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 2,122 | $60,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D332 | VELOCITY SHS DAI | 4,403 | $60,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R833 | WBI BULBEAR TR | 2,935 | $60,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH X | 22539T399 | COM | 2,160 | $60,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 826 | $59,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 5,196 | $59,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,618 | $59,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 929 | $59,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 7,489 | $59,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 11,781 | $59,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1,456 | $59,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 1,843 | $59,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 13,208 | $59,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 1,659 | $59,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 24,541 | $59,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 3,943 | $58,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 1,972 | $58,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 25,495 | $58,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 1,399 | $58,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 17,526 | $58,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 2,522 | $58,000 | thousands by filing date | |
| ENTREPRENEURSHARES SERIES TR | 293828802 | ERSHARES ENT | 3,453 | $58,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q381 | BETABLDRS 1-5YR | 2,278 | $58,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 6,278 | $58,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 1,400 | $57,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 1,934 | $57,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A594 | AAM S&P 500 | 2,143 | $57,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 1,343 | $57,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 7,921 | $57,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 28,081 | $57,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 8,127 | $57,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 3,120 | $57,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 3,964 | $57,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 3,498 | $57,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 2,128 | $57,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 6,114 | $57,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 10,180 | $57,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 11,163 | $57,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430347 | MOTIF DATA DRIVN | 1,100 | $57,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 1,136 | $57,000 | thousands by filing date | |
| REALITY | 75605A884 | SHS ETF TR FUNDDSTRAT DQM | 2,160 | $57,000 | thousands by filing date | |
| PROSHARES TR | 74347B193 | ULTRAPRO SHORT N | 3,389 | $57,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 2,525 | $56,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 1,258 | $56,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 3,783 | $56,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 9,600 | $56,000 | thousands by filing date | put |
| AK STEEL HOLDING CORP | 001547108 | COM | 24,475 | $56,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 1,538 | $56,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 39,687 | $56,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 2,460 | $55,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 3,525 | $55,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 2,239 | $55,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 13,917 | $55,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 1,559 | $55,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 2,255 | $55,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 35,500 | $55,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 1,629 | $55,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 2,093 | $55,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 2,192 | $55,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,535 | $55,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 300 | $54,000 | thousands by filing date | put |
| NEXTDECADE CORP | 65342K105 | COM | 9,357 | $54,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 2,598 | $54,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 12,920 | $54,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 44,874 | $54,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 16,435 | $54,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 3,495 | $54,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,697 | $53,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 5,099 | $53,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,966 | $53,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 5,460 | $53,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 7,100 | $53,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 13,944 | $53,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 4,938 | $53,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D654 | 3X INVERS SILV | 2,804 | $53,000 | thousands by filing date | |
| RBB FD INC | 74933W601 | MOTLEY FOL ETF | 2,306 | $52,000 | thousands by filing date | |
| 10X GENOMICS INC CL A COM | 88025U109 | Stock | 1,037 | $52,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 225 | $52,000 | thousands by filing date | call |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 1,500 | $52,000 | thousands by filing date | put |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 6,592 | $52,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 8,045 | $52,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 1,549 | $52,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 1,904 | $52,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 9,915 | $52,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 1,960 | $52,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNE | 51508j405 | LP | 1,989 | $52,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 26,128 | $52,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 2,121 | $52,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 1,946 | $52,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 200 | $51,000 | thousands by filing date | put |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 2,810 | $51,000 | thousands by filing date | |
| FIRST TRUST DOW JONES INTERNATIONAL INTERNET ETF | 33734X770 | ETF | 2,403 | $51,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 1,775 | $51,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 2,344 | $51,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 7,208 | $51,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 18,802 | $51,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 4,899 | $51,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 1,231 | $51,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 1,871 | $51,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 1,816 | $51,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 15,880 | $50,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 4,668 | $50,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 2,353 | $50,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 1,151 | $50,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 1,036 | $50,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 649 | $50,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 3,609 | $50,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 2,238 | $50,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 4,223 | $50,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 3,364 | $50,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 1,790 | $50,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 2,815 | $50,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G771 | CINTL ULTR DVD R | 2,191 | $50,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 620 | $49,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 2,901 | $49,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 1,632 | $49,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 1,945 | $49,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 19,469 | $49,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 1,951 | $49,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 14,195 | $49,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 20,693 | $49,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,650 | $49,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 5,369 | $49,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 5,853 | $49,000 | thousands by filing date | |
| CAMBRIA ETF TR CORE EQUITY | 132061854 | CEF | 1,787 | $49,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 700 | $48,000 | thousands by filing date | put |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 3,604 | $48,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 7,518 | $48,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C862 | INNOVATOR DEEPW | 2,102 | $48,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 6,014 | $48,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 1,728 | $48,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 3,175 | $48,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 1,109 | $48,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 1,596 | $48,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F607 | EQUITYCOMPASS | 2,353 | $48,000 | thousands by filing date | |
| LISTED FD TR EVENTSHS US LEGI | 53656F102 | CEF | 2,217 | $48,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 2,094 | $47,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 948 | $47,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 23,522 | $47,000 | thousands by filing date | principal |
| CHEMOCENTRYX INC | 16383L106 | COM | 7,000 | $47,000 | thousands by filing date | put |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 1,000 | $47,000 | thousands by filing date | put |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 1,615 | $47,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 7,252 | $47,000 | thousands by filing date | principal |
| SMART SAND INC | 83191H107 | COM | 16,618 | $47,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 1,857 | $47,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 8,841 | $47,000 | thousands by filing date | |
| LIVONGO HEALTH INC | 539183103 | COM | 2,680 | $47,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 18,873 | $47,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 14,777 | $47,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 2,365 | $47,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 5,000 | $46,000 | thousands by filing date | call |
| INNOVATOR ETFS TRUST | 45782C797 | US EQTY PWR BUF | 1,838 | $46,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 2,616 | $46,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 1,650 | $46,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 24,075 | $46,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 2,344 | $46,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 38,392 | $46,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 4,402 | $46,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 1,000 | $45,000 | thousands by filing date | put |
| FRANKLIN LIBERTY HIGH YIELD | 35473P629 | LIBERTY HI YLD | 1,738 | $45,000 | thousands by filing date | |
| HELIOS TECHNOLOGIES INC | 42328H109 | COM | 1,101 | $45,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 7,226 | $45,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,941 | $45,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 3,004 | $45,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 1,378 | $45,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 2,670 | $45,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 28,512 | $45,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 9,631 | $45,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 4,538 | $45,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E552 | MSCI EMRNG MKT | 1,487 | $45,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 4,661 | $45,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 200 | $44,000 | thousands by filing date | put |
| OIL STS INTL INC | 678026105 | COM | 3,319 | $44,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 1,497 | $44,000 | thousands by filing date | |
| ABRDN ETFS | 003261203 | BBRG ALL COMMDY | 1,867 | $44,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 884 | $44,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 62,989 | $44,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 34,000 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 1,265 | $44,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 2,014 | $44,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 30,416 | $44,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 1,146 | $43,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 700 | $43,000 | thousands by filing date | put |
| TYSON FOODS INC CL A | 902494103 | Stock | 500 | $43,000 | thousands by filing date | put |
| KURA SUSHI USA INC | 501270102 | CL A COM | 2,170 | $43,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 600 | $43,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 1,282 | $43,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 1,471 | $43,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 8,925 | $43,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,363 | $43,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P595 | SENIOR LOAN ETF | 1,708 | $43,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 5,571 | $43,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 5,092 | $43,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 7,367 | $43,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 1,754 | $43,000 | thousands by filing date | |
| SALT FDS TR | 79590A107 | SALT LOW TRUBE | 1,529 | $43,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 908 | $42,000 | thousands by filing date | |
| Hartford Municipal Opportnits ETF | 41653L503 | ETF | 1,012 | $42,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 5,594 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 1,227 | $42,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,763 | $42,000 | thousands by filing date | |
| LUOKUNG TECHNOLOGY CORP | G56981106 | SHS | 7,688 | $42,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 39,989 | $42,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 2,958 | $42,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 9,601 | $42,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 11,923 | $41,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 7,480 | $41,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 3,970 | $41,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 1,089 | $41,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 13,468 | $41,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 6,000 | $41,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 3,555 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 1,113 | $41,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 2,628 | $41,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 18,671 | $41,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 3,743 | $41,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 12,480 | $41,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 7,862 | $41,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 12,500 | $41,000 | thousands by filing date | call |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 2,820 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 1,805 | $41,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 1,865 | $41,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,658 | $41,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 515 | $40,000 | thousands by filing date | |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 961 | $40,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 1,227 | $40,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 3,235 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 1,288 | $40,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 6,948 | $40,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,328 | $40,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 11,428 | $40,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 1,629 | $40,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 1,604 | $40,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 2,082 | $40,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 6,714 | $40,000 | thousands by filing date | |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 1,484 | $39,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 3,026 | $39,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 58,259 | $39,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 107,598 | $39,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E438 | RUSL 1000 ENHD | 1,355 | $39,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 19,811 | $39,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 2,013 | $39,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 15,513 | $39,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 31,678 | $39,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W700 | MLT FTR CR FXD | 1,470 | $39,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 1,371 | $39,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 2,011 | $39,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 7,054 | $38,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 2,879 | $38,000 | thousands by filing date | |
| ENVISTA HOLDINGS CORPORATION | 29415F104 | COM | 1,356 | $38,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 2,780 | $38,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,665 | $38,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 2,500 | $38,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 6,844 | $38,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 665 | $38,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 4,582 | $38,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 1,568 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 1,859 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 949 | $38,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 26,931 | $38,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 13,125 | $38,000 | thousands by filing date | |
| PROSHARES ULTRASHORT TECHNOLOGY | 74347G101 | ETF | 2,325 | $38,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 599 | $38,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 43,586 | $38,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 36,520 | $38,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 970 | $38,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 1,562 | $38,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 2,118 | $38,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 10,283 | $37,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 4,301 | $37,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 3,313 | $37,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 448 | $37,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 7,000 | $37,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 1,695 | $37,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 13,658 | $37,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 7,150 | $37,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 12,000 | $37,000 | thousands by filing date | put |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 13,086 | $37,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 1,399 | $37,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,844 | $37,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 15,000 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 500 | $36,000 | thousands by filing date | put |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 3,588 | $36,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 727 | $36,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 5,938 | $36,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 1,801 | $36,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 1,115 | $36,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,937 | $36,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 2,300 | $36,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 4,460 | $36,000 | thousands by filing date | |
| ARROW INVTS TR | 042765685 | DWA TACT INTL | 1,391 | $36,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 2,744 | $36,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 1,970 | $36,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 4,053 | $36,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T282 | XLNKS REIT ETN36 | 1,574 | $36,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 3,401 | $36,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D259 | NT AMZI 46 | 1,476 | $36,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 596 | $36,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 100 | $35,000 | thousands by filing date | call |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 3,062 | $35,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 400 | $35,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V498 | S&P SMLCP MOMENT | 950 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 2,188 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 2,639 | $35,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 BUFFER ETF JUNE | 45782C755 | ETF | 1,300 | $35,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,345 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 696 | $35,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 3,049 | $35,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 4,000 | $35,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 28,986 | $35,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 20,000 | $35,000 | thousands by filing date | put |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 26,458 | $35,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q106 | CL A | 3,373 | $35,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 2,806 | $35,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 2,733 | $35,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 1,317 | $35,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 3,168 | $34,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 1,576 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 1,726 | $34,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,190 | $34,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,651 | $34,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 4,106 | $34,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 8,179 | $34,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,311 | $34,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 15,369 | $34,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 1,344 | $34,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 1,025 | $34,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 11,253 | $34,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 1,495 | $34,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 2,076 | $34,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E647 | MKT HLDGS I VELCTYSHS USDAUD | 2,377 | $34,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,330 | $33,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 2,996 | $33,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 318 | $33,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,500 | $33,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 3,322 | $33,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 1,375 | $33,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,649 | $33,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,340 | $33,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 56,346 | $33,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 7,056 | $33,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 540 | $33,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,056 | $33,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 364 | $33,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,186 | $33,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 8,810 | $33,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 946 | $33,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION | 03768F201 | UNIT 06/11/2026 | 3,200 | $33,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L720 | CUR HDG DM IDX | 1,181 | $33,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E233 | VELCTYSHS USDCHF | 1,740 | $33,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W106 | EMMKT DB DEFSV | 1,271 | $33,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 10,000 | $32,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 2,222 | $32,000 | thousands by filing date | |
| ISHARES TR | 46435U861 | CORE DIVID ETF | 1,129 | $32,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 400 | $32,000 | thousands by filing date | put |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 6,107 | $32,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 430 | $32,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 1,136 | $32,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 3,186 | $32,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 831 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 447 | $32,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 175,350 | $32,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 23,500 | $32,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 3,636 | $32,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 767 | $32,000 | thousands by filing date | principal |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 1,385 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 1,343 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 1,179 | $32,000 | thousands by filing date | |
| PROFICIENT ALPHA ACQUSTN COR | 74317H204 | UNIT 04/30/2026 | 3,242 | $32,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K743 | VELOCITYSHS LONG | 1,477 | $32,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G839 | EMERGING MKT | 1,377 | $32,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 5,000 | $31,000 | thousands by filing date | call |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,102 | $31,000 | thousands by filing date | |
| ISHARES TR | 46435G219 | INVESTMENT GRADE | 584 | $31,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 5,798 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 1,942 | $31,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 1,559 | $31,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,006 | $31,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 5,908 | $31,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 34,000 | $31,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P613 | FUND | 1,561 | $31,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,195 | $31,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 1,993 | $31,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 13,803 | $31,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 16,600 | $31,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 1,234 | $31,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 861 | $31,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 11,901 | $31,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 18,000 | $31,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 15,644 | $31,000 | 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 |