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 |
|---|---|---|---|---|---|---|
| MICROSECTORS FANG INDEX -3X INVERSE LEVERAGED ETN | 063679864 | ETF | 1,469 | $31,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 1,781 | $31,000 | thousands by filing date | |
| SENTINEL ENERGY SVCS INC | 81728P105 | CL A | 3,032 | $31,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,492 | $30,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 868 | $30,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 6,220 | $30,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 39,785 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,919 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 1,647 | $30,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E166 | ETRACS MNTHLY B | 1,717 | $30,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 4,245 | $30,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 7,515 | $30,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 1,276 | $30,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 13,058 | $30,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 6,638 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 2,411 | $30,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 3,138 | $30,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430271 | MANUFCTING REVL | 611 | $30,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 1,485 | $30,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 300 | $29,000 | thousands by filing date | put |
| PAGERDUTY INC COM | 69553P100 | Stock | 1,020 | $29,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 989 | $29,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 1,150 | $29,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 826 | $29,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,565 | $29,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 4,443 | $29,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,993 | $29,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,546 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 453 | $29,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 1,247 | $29,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 3,854 | $29,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 51,584 | $29,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 7,556 | $29,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 4,490 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 1,850 | $29,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 663 | $29,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130123 | UNIT 03/01/2024 | 2,868 | $29,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 826 | $29,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 2,836 | $29,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E752 | DLY MSCI MX 3X | 2,948 | $29,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 1,222 | $28,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 562 | $28,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 434 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 736 | $28,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,543 | $28,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 833 | $28,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 10,907 | $28,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 3,713 | $28,000 | thousands by filing date | |
| DIREXION DAILY REAL ESTATE BEAR 3X SHARES | 25460E141 | ETF | 1,073 | $28,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 900 | $28,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 4,753 | $28,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 76,339 | $28,000 | thousands by filing date | |
| TUSCAN HOLDINGS CORP | 90069K203 | UNIT 99/99/9999 | 2,600 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 2,148 | $28,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 900 | $28,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 1,634 | $28,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G830 | VIRTUS GLOVIST | 1,308 | $28,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 785 | $27,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,792 | $27,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 300 | $27,000 | thousands by filing date | put |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 3,023 | $27,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 698 | $27,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 2,000 | $27,000 | thousands by filing date | call |
| LOOP INDS INC | 543518104 | COM | 2,115 | $27,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 755 | $27,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 7,072 | $27,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 1,245 | $27,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 7,217 | $27,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 12,232 | $27,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,219 | $27,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C763 | mc | 1,388 | $27,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 24,868 | $27,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 2,631 | $27,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 42,379 | $27,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E479 | PURBTA FTSE EM | 1,159 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E117 | DAILY MD CP BEAR | 530 | $27,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 2,245 | $27,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K207 | UNIT 06/19/2025 | 2,522 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 951 | $27,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G813 | GLOBAL ESG ETF | 913 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y840 | CB OE RUSSELL | 1,378 | $27,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 364 | $26,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 1,166 | $26,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A420 | DEFIA QUANT ETF | 999 | $26,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,421 | $26,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 514 | $26,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,564 | $26,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 2,201 | $26,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,269 | $26,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 2,888 | $26,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 8,239 | $26,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 6,318 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 1,127 | $26,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 6,407 | $26,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 1,500 | $26,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,229 | $26,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 13,337 | $26,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 12,631 | $26,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 2,553 | $26,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,103 | $26,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 4,226 | $26,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 862 | $26,000 | thousands by filing date | |
| NULL | 301505749 | NULL | 984 | $26,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 2,795 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 979 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 1,083 | $26,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 2,616 | $26,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,576 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 1,961 | $26,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 1,118 | $26,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 796 | $26,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 414 | $26,000 | thousands by filing date | |
| LEO HOLDINGS CORP II-CLASS A | G5463L105 | CMN | 2,556 | $26,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 14,824 | $26,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 13,427 | $26,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 500 | $25,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 484 | $25,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,760 | $25,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q774 | LDRSHS ALPFACT | 1,002 | $25,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,244 | $25,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 808 | $25,000 | thousands by filing date | |
| PROCURE SPACE ETF | 74280R205 | ETF | 970 | $25,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 35,000 | $25,000 | thousands by filing date | principal |
| SPROTT ETF TRUST | 85210B201 | JR GOLD MINERS E | 810 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 1,587 | $25,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N550 | VCTRYSHS INTL MO | 554 | $25,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 649 | $25,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 6,824 | $25,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 4,520 | $25,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 1,728 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 737 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P456 | FUND | 666 | $25,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 5,367 | $25,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 1,524 | $25,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 6,833 | $25,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 2,143 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 677 | $25,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 2,022 | $25,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 918 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 925 | $25,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 1,339 | $24,000 | thousands by filing date | |
| iShares Cybersecurity and Tech ETF | 46435U135 | CYBERSECURITY | 975 | $24,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 930 | $24,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,732 | $24,000 | thousands by filing date | |
| VANECK LONG/FLAT TREND ETF | 92189F148 | LONG/FLAT TREND | 846 | $24,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092725 | INT HG DIV ETF | 1,208 | $24,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 16,962 | $24,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 2,393 | $24,000 | thousands by filing date | |
| GENFIT S A | 372279109 | ADS | 1,353 | $24,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 1,023 | $24,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 7,154 | $24,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 1,694 | $24,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641760 | CMCI AGRI ETN | 1,601 | $24,000 | thousands by filing date | |
| REVIVA PHARMACEUTCLS HLDGS INC COM | G8708A116 | Stock | 2,347 | $24,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 766 | $24,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 1,434 | $24,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 30,830 | $24,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 7,183 | $24,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 463 | $24,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 2,300 | $24,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430255 | NEW AGE CONSU | 466 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 896 | $24,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L122 | UNIT 99/99/9999 | 2,383 | $24,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP III | 31811A309 | UNIT 12/01/2023 | 2,269 | $24,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745204 | UNIT 02/01/2023 | 2,245 | $24,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 100 | $23,000 | thousands by filing date | call |
| NEWS CORP NEW | 65249B208 | CL B | 1,592 | $23,000 | thousands by filing date | principal |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 9,125 | $23,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 2,007 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 938 | $23,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 500 | $23,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,945 | $23,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 2,868 | $23,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 776 | $23,000 | thousands by filing date | |
| TUSCAN HLDGS CORP | 90069K104 | COM | 2,368 | $23,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 995 | $23,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 538 | $23,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 6,934 | $23,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 1,371 | $23,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 1,328 | $23,000 | thousands by filing date | |
| USCF FDS TR | 91733T406 | US 3X SHRT OIL | 5,438 | $23,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 2,275 | $23,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 1,522 | $23,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 16,643 | $23,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 63,114 | $23,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 74,495 | $23,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 2,193 | $23,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 2,229 | $23,000 | thousands by filing date | |
| AKAZOO SA | L0164E116 | *W EXP 09/11/202 | 29,630 | $23,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C203 | UNIT 99/99/9999 | 2,166 | $23,000 | thousands by filing date | |
| SUMMIT WIRELESS TECHNLGIES I | 86633R104 | COM | 25,540 | $23,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 704 | $22,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 4,594 | $22,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 896 | $22,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 7,628 | $22,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 7,262 | $22,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 1,106 | $22,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 1,482 | $22,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,887 | $22,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 2,123 | $22,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 1,127 | $22,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 800 | $22,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 44,449 | $22,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 852 | $22,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 5,183 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 837 | $22,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,994 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y533 | MSCI CHINA IT | 1,289 | $22,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S124 | UNIT 99/99/9999 | 2,200 | $22,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L204 | UNIT 99/99/9999 | 2,124 | $22,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285201 | UNIT 12/30/2025 | 2,200 | $22,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 29,900 | $22,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q811 | LONG SHORT ETF | 1,000 | $22,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,118 | $22,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E662 | MKT HLDGS I VELCTYSHS USDJPY | 910 | $22,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754205 | UNIT 99/99/9999 | 2,090 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E513 | DLY ROB AI 3X | 2,147 | $22,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950103 | ORD SHS | 2,128 | $22,000 | thousands by filing date | |
| GREENLAND ACQUISITIN CORPORA | G40981139 | SHS | 2,134 | $22,000 | thousands by filing date | |
| ENDAVA PLC ADS | 29260V105 | ADR | 558 | $21,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,652 | $21,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 2,547 | $21,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 1,930 | $21,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,227 | $21,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,693 | $21,000 | thousands by filing date | principal |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 2,067 | $21,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 2,826 | $21,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 3,313 | $21,000 | thousands by filing date | |
| COLLPLANT BIOTECHNOLOGIES LTD SHS NEW | 19516R107 | Stock | 5,304 | $21,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 1,500 | $21,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 2,121 | $21,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $21,000 | thousands by filing date | principal |
| POINTER TELOCATION LTD | M7946T104 | SHS | 1,410 | $21,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 969 | $21,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,549 | $21,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 400 | $21,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $21,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 5,553 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 286 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 1,089 | $21,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 1,271 | $21,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641205 | UNIT 99/99/9999 | 2,083 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347G200 | ULSHRT SEMIC NEW | 984 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y832 | ICBCCS S&P CHINA | 806 | $21,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 2,040 | $21,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 2,112 | $20,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 7,245 | $20,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 1,639 | $20,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 788 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 873 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 709 | $20,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 3,187 | $20,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P645 | FRANKLIN FTSE | 847 | $20,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,591 | $20,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 43,216 | $20,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 4,428 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 563 | $20,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,572 | $20,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,599 | $20,000 | thousands by filing date | |
| ETRACS CMCI SILVER TR ETN | 902641794 | CMN | 925 | $20,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,276 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 629 | $20,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 37,937 | $20,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 6,930 | $20,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 6,065 | $20,000 | thousands by filing date | |
| AMTD IDEA GROUP | 00180G106 | SPONSORED ADS | 2,184 | $20,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J826 | MLTDCTR MEDIA | 747 | $20,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 2,010 | $20,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,500 | $20,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760110 | UNIT 99/99/9999 | 1,935 | $20,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 790 | $20,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 3,694 | $20,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872208 | UNIT 99/99/9999 | 1,900 | $20,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R200 | UNIT 01/07/2019 | 1,900 | $20,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N206 | UNIT 04/30/2025 | 1,880 | $20,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q860 | EVENT DRIVEN | 772 | $20,000 | thousands by filing date | |
| EDTECHX HLDGS ACQUISITION CO | 28138X202 | UNIT 12/31/2025 | 1,913 | $20,000 | thousands by filing date | |
| CHARDAN HEALTHCARE ACQUISITI | 15957A207 | UNIT 12/13/2023 | 1,661 | $20,000 | thousands by filing date | |
| FIDELITY HIGH YIELD FACTOR ETF | 316092618 | HIGH YILD ETF | 366 | $19,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 1,163 | $19,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 2,906 | $19,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,810 | $19,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,580 | $19,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 3,000 | $19,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 1,758 | $19,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 3,170 | $19,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 9,408 | $19,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 2,700 | $19,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 1,000 | $19,000 | thousands by filing date | principal |
| BENEFITFOCUS INC | 08180D106 | COM | 827 | $19,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,734 | $19,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 14,453 | $19,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 4,796 | $19,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 945 | $19,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 9,726 | $19,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 5,490 | $19,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 3,745 | $19,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U605 | ORGANICS ETF | 774 | $19,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 756 | $19,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 6,253 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 600 | $19,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 1,867 | $19,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,860 | $19,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N202 | UNIT 05/11/2023 | 1,804 | $19,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C104 | CL A COM | 1,925 | $19,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E605 | MKT HLDGS I VELCTYSHS AUDUSD | 520 | $19,000 | thousands by filing date | |
| INVESCO CURNCYSHS SWEDSH KRO | 46138V109 | SWEDISH KRONA | 206 | $19,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 2,282 | $18,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 593 | $18,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 773 | $18,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 3,870 | $18,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 8,400 | $18,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 5,963 | $18,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 908 | $18,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A263 | ACQUIRERS FD | 720 | $18,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,969 | $18,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 4,450 | $18,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 1,400 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 1,297 | $18,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 9,056 | $18,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 7,031 | $18,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 73,625 | $18,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 1,400 | $18,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 2,636 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 259 | $18,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 680 | $18,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,636 | $18,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 2,104 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 446 | $18,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 79,657 | $18,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R129 | *W EXP 99/99/999 | 7,283 | $18,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 5,425 | $18,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372108 | UNIT 08/29/2024 | 1,716 | $18,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E480 | VELCTYSHS USDEUR | 1,210 | $18,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U207 | UNIT 03/31/2021 | 1,747 | $18,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 270 | $18,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P702 | LIBRT INT OPPT | 661 | $18,000 | thousands by filing date | |
| DD3 ACQUISITION CORP | G2692M129 | UNIT 10/12/2023 | 1,769 | $18,000 | thousands by filing date | |
| BOXWOOD MERGER CORP | 10319T200 | UNIT 11/26/2025 | 1,631 | $18,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 6,862 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 738 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 701 | $17,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 695 | $17,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 603 | $17,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,274 | $17,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 3,507 | $17,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q105 | SIMP AF WORL ETF | 748 | $17,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 2,281 | $17,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 3,067 | $17,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 1,878 | $17,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 6,000 | $17,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,391 | $17,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 7,594 | $17,000 | thousands by filing date | |
| MEDALLIA INC | 584021109 | COM | 608 | $17,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 123,454 | $17,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,910 | $17,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 5,798 | $17,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 12,002 | $17,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 287 | $17,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 4,248 | $17,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 2,169 | $17,000 | thousands by filing date | |
| HIGHEST PERFORMANCES HOLDINGS - ADR | 69373Y109 | COM | 2,572 | $17,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 4,099 | $17,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 14,054 | $17,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 2,350 | $17,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 946 | $17,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 816 | $17,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 3,134 | $17,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 3,369 | $17,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 4,588 | $17,000 | thousands by filing date | |
| TENZING ACQUISITION CORP | G8708A124 | UNIT 08/24/2024 | 1,591 | $17,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 885 | $17,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 3,010 | $17,000 | thousands by filing date | |
| PROFICIENT ALPHA ACQUSTN COR COM | 74317h105 | COM | 1,723 | $17,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G789 | INTERNATNL REV | 716 | $17,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A206 | UNIT 02/28/2021 | 1,508 | $17,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 785 | $17,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 311 | $16,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 100 | $16,000 | thousands by filing date | put |
| AUTONATION INC COM | 05329W102 | Stock | 313 | $16,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 2,522 | $16,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 527 | $16,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 895 | $16,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 5,198 | $16,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 937 | $16,000 | thousands by filing date | |
| FRANKLIN FTSE CHINA ETF | 35473P819 | ETF | 745 | $16,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 2,151 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 232 | $16,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 595 | $16,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 1,695 | $16,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 6,944 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P785 | FTSE GERMANY | 786 | $16,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,355 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 742 | $16,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 2,674 | $16,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 565 | $16,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 3,338 | $16,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 8,109 | $16,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 1,501 | $16,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,154 | $16,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 18,529 | $16,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 6,780 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 796 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 740 | $16,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 2,724 | $16,000 | thousands by filing date | |
| MDJM LTD | G59290109 | SHS | 5,560 | $16,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 2,312 | $16,000 | thousands by filing date | |
| PGIM ETF TR | 69344A305 | QMA STRGC ALPH | 303 | $16,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 735 | $16,000 | thousands by filing date | |
| BIT ORIGIN LTD | G21621100 | SHS | 3,499 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 896 | $16,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N808 | VICOTRYSHS EMG | 690 | $16,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L121 | UNIT 99/99/9999 | 1,500 | $16,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 1,600 | $16,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 1,529 | $16,000 | thousands by filing date | |
| 8I ENTERPRISES ACQUISITIN CO | G2956M138 | UNIT 99/99/9999 | 1,505 | $16,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 23,927 | $16,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 25,351 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74348A186 | ULTRPRO SHRT NEW | 2,819 | $16,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L205 | UNIT 05/11/2025 | 1,400 | $16,000 | thousands by filing date | |
| JPMORGAN CHASE FINL CO LLC | 48129G703 | CUSHING MLP 37 | 1,011 | $16,000 | thousands by filing date | |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 313 | $15,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 827 | $15,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 466 | $15,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 3,116 | $15,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 2,402 | $15,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 350 | $15,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 1,424 | $15,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,217 | $15,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 250 | $15,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 4,490 | $15,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 30,074 | $15,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 8,000 | $15,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 1,451 | $15,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 3,283 | $15,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 8,730 | $15,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,146 | $15,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 616 | $15,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 861 | $15,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 319 | $15,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 1,487 | $15,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 1,985 | $15,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 416 | $15,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 3,000 | $15,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 3,450 | $15,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 38,975 | $15,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 15,000 | $15,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 5,072 | $15,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 120,499 | $15,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 6,994 | $15,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 3,150 | $15,000 | thousands by filing date | |
| EDTECHX HLDGS ACQUISITION CO | 28138X103 | COM | 1,468 | $15,000 | thousands by filing date | |
| WEALTHBRIDGE ACQUISITION LTD | G4887W102 | UNIT 99/99/9999 | 1,410 | $15,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950111 | UNIT 08/15/2023 | 1,469 | $15,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 606 | $15,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 50 | $14,000 | thousands by filing date | call |
| FULGENT GENETICS INC | 359664109 | COM | 1,325 | $14,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505723 | ROBO GBL HLTCR | 600 | $14,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 18,661 | $14,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 4,110 | $14,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 409 | $14,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 453 | $14,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 2,512 | $14,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 1,659 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 111 | $14,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,098 | $14,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 4,844 | $14,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,010 | $14,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P850 | MUNICIPAL GRN BD | 552 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 271 | $14,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 2,676 | $14,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,864 | $14,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 16,436 | $14,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 57,257 | $14,000 | thousands by filing date | |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 3,045 | $14,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 50,315 | $14,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 3,293 | $14,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 5,061 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P480 | FUND | 201 | $14,000 | thousands by filing date | |
| MOHAWK GROUP HLDGS INC | 608189106 | COM | 1,746 | $14,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 4,794 | $14,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 67,318 | $14,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 11,189 | $14,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 2,544 | $14,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 1,178 | $14,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 6,590 | $14,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108870 | AMPLIFY EMERGING | 542 | $14,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L204 | COM NEW | 2,362 | $14,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 11,581 | $14,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 5,793 | $14,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 17,046 | $14,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H666 | FRMLAFOLIOS TATL | 541 | $14,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 6,888 | $14,000 | thousands by filing date | |
| INVESCO CURNCYSHS CHINESE RE | 46138X105 | CHINESE RENMIN | 210 | $14,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 14,983 | $14,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS I | 88165N204 | COM NEW | 2,564 | $14,000 | thousands by filing date | |
| RUHNN HLDG LTD | 781314109 | ADS | 1,978 | $14,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G205 | UNIT 99/99/9999 | 1,343 | $14,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 1,062 | $14,000 | 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 |