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 |
|---|---|---|---|---|---|---|
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 1,400 | $14,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 819 | $14,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 530 | $14,000 | thousands by filing date | |
| REALITY | 75605A603 | SHS ETF TR DIVCON DIV ETF | 576 | $14,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A123 | UNIT 06/21/2023 | 1,330 | $14,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 12,351 | $13,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 510 | $13,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 250 | $13,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C409 | US EQTY BUFR JAN | 452 | $13,000 | thousands by filing date | |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 882 | $13,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 2,800 | $13,000 | thousands by filing date | put |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 14,895 | $13,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 1,424 | $13,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 687 | $13,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,865 | $13,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 895 | $13,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,828 | $13,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 6,413 | $13,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 675 | $13,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 50,575 | $13,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 2,111 | $13,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,861 | $13,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 2,755 | $13,000 | thousands by filing date | |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 1,975 | $13,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 7,063 | $13,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 8,167 | $13,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 7,148 | $13,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 3,964 | $13,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 4,864 | $13,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 42,861 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 814 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 458 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,026 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 406 | $13,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 898 | $13,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 121,511 | $13,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 5,098 | $13,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 1,271 | $13,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 2,643 | $13,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 5,267 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 530 | $13,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 6,512 | $13,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 3,426 | $13,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 8,482 | $13,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 1,293 | $13,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 1,759 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 12,000 | $13,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 3,258 | $13,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 4,217 | $13,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CL A ORD | 30734W109 | COM | 1,305 | $13,000 | thousands by filing date | |
| WEIDAI LTD | 94861A108 | SPONS ADS | 2,090 | $13,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 15,583 | $13,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 1,160 | $13,000 | thousands by filing date | |
| VISLINK TECHNOLOGIES INC COM NEW | 92836Y201 | Stock | 25,448 | $13,000 | thousands by filing date | |
| TIGERSHARES TR | 88680T108 | UP FINTC CHIN US | 508 | $13,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788206 | UNIT 01/18/2023 | 1,254 | $13,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L114 | *W EXP 05/11/202 | 10,103 | $13,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 4,907 | $12,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 3,389 | $12,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,875 | $12,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 2,680 | $12,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 3,167 | $12,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 3,297 | $12,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,000 | $12,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 8,544 | $12,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 9,212 | $12,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,399 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 227 | $12,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,206 | $12,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 1,197 | $12,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 1,282 | $12,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,215 | $12,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 2,931 | $12,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 10,074 | $12,000 | thousands by filing date | principal |
| SILK ROAD MEDICAL INC | 82710M100 | COMMON STOCK | 355 | $12,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 4,966 | $12,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 4,055 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P472 | FUND | 284 | $12,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 1,243 | $12,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 10,806 | $12,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 4,000 | $12,000 | thousands by filing date | call |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 4,307 | $12,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 790 | $12,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 1,893 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 577 | $12,000 | thousands by filing date | |
| AKAZOO SA COM NPV | L0164E108 | COMMON STOCK | 1,963 | $12,000 | thousands by filing date | |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 27,427 | $12,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 65,015 | $12,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 16,781 | $12,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 3,830 | $12,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 6,903 | $12,000 | thousands by filing date | |
| Trovagene Inc | 897238606 | COM | 7,707 | $12,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 5,000 | $12,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 7,515 | $12,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 16,104 | $12,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 10,412 | $12,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640309 | COM | 5,635 | $12,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 19,902 | $12,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 5,983 | $12,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 2,037 | $12,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 4,616 | $12,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 17,447 | $12,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 2,422 | $12,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784114 | UNIT 99/99/9999 | 1,200 | $12,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 59,864 | $12,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 2,039 | $12,000 | thousands by filing date | |
| MOXIAN INC | 624697306 | COM | 6,429 | $12,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 13200M409 | Stock | 72,727 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 241 | $12,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R207 | S&P GSCI CM K 1 | 593 | $12,000 | thousands by filing date | |
| PIVOTAL ACQUISITION CORP | 72583A200 | UNIT 12/01/2025 | 1,041 | $12,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 350 | $11,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,231 | $11,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 5,158 | $11,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 2,400 | $11,000 | thousands by filing date | call |
| BLINK CHARGING CO | 09354A100 | COM | 4,398 | $11,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,394 | $11,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 521 | $11,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 2,302 | $11,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,723 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 446 | $11,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 277 | $11,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 2,053 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 398 | $11,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 439 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 496 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y616 | CMN | 418 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 474 | $11,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 3,588 | $11,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 10,798 | $11,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 2,017 | $11,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 524 | $11,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 7,139 | $11,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 1,296 | $11,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 273 | $11,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 4,035 | $11,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,058 | $11,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 15,062 | $11,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 7,410 | $11,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 752 | $11,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 29,990 | $11,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 9,161 | $11,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T400 | CANNABIS ETF | 694 | $11,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 5,220 | $11,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 17,665 | $11,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 28,000 | $11,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 4,357 | $11,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A408 | mc | 789 | $11,000 | thousands by filing date | |
| POWERBRIDGE TECHNLOGIES CO LTD ORD SHS | G72007100 | ORD SHS | 3,232 | $11,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP SHS NEW | Y73760301 | Stock | 23,421 | $11,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576200 | CL B | 695 | $11,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 69,445 | $11,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F201 | UNIT 06/12/2023 | 1,039 | $11,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 16,582 | $11,000 | thousands by filing date | |
| MicroSectors FANG Index 2X Inverse Leveraged ETN | 063679849 | ETP | 245 | $11,000 | thousands by filing date | |
| PROSHARES TR II | 74347W221 | ULTRAPRO 3X CR | 718 | $11,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 3,063 | $11,000 | thousands by filing date | |
| JANUS DETROIT STR TR OBESITY ETF | 47103U506 | CEF | 315 | $11,000 | thousands by filing date | |
| INVESCO EXCHANGETRADED FD T RUSL 1000 MOMT | 46138G755 | Stock | 384 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430321 | FINANCE REIMAGI | 196 | $11,000 | thousands by filing date | |
| EDISON NATION INC | 28103E106 | COM | 4,320 | $11,000 | thousands by filing date | |
| RA MED SYS INC | 74933X104 | COM | 7,852 | $11,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 1,669 | $11,000 | thousands by filing date | |
| ACT II GLOBAL ACQUISITION CO | G0080J112 | UNIT 04/30/2026 | 1,100 | $11,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G730 | RUSL 1000 SIZE | 400 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 483 | $11,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 9,057 | $10,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 999 | $10,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 665 | $10,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092527 | SML MID MLTFCT | 401 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435U218 | ESG MSCI LEADR | 200 | $10,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 4,747 | $10,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 3,284 | $10,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 500 | $10,000 | thousands by filing date | |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 565 | $10,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1,500 | $10,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 6,702 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 343 | $10,000 | thousands by filing date | |
| CAMBRIA EMERGING SHAREHOLDER YIELD ETF | 132061706 | ETF | 348 | $10,000 | thousands by filing date | |
| PACER US CASH COWS GROWTH ETF | 69374H667 | ETF | 401 | $10,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 3,167 | $10,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 3,918 | $10,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 4,751 | $10,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 834 | $10,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 11,175 | $10,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 2,120 | $10,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 1,329 | $10,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 8,469 | $10,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 1,000 | $10,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 185 | $10,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 3,775 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 302 | $10,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 2,064 | $10,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 5,642 | $10,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 2,500 | $10,000 | thousands by filing date | |
| CNFINANCE HLDGS LTD | 18979T105 | SPON ADS | 1,629 | $10,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 3,369 | $10,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 20,857 | $10,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 3,174 | $10,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 4,164 | $10,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 14,376 | $10,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,702 | $10,000 | thousands by filing date | |
| IMPACT | 45259A308 | SHS FDS I TR SUS DV GGE ETF | 494 | $10,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 314 | $10,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 6,367 | $10,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 24,598 | $10,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 10,000 | $10,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 5,428 | $10,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 3,154 | $10,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 2,452 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E487 | PURBTA FTSE DV | 444 | $10,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 10,000 | $10,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N301 | UNIT 12/31/2023 | 931 | $10,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 614 | $10,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ATIF HOLDINGS LIMITED | G0602B100 | SHS | 3,403 | $10,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 900 | $10,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 925 | $10,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076100 | COM CLASS A | 1,000 | $10,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y789 | US LRG MLTFCTR | 400 | $10,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D424 | 2XLEVE ETRACS WF | 670 | $10,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 29,991 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X222 | GBL MXC EQT FD | 338 | $10,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 572 | $10,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 785 | $9,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 194 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P678 | FTSE UNTD KGDM | 385 | $9,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1,943 | $9,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,096 | $9,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 1,536 | $9,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 4,757 | $9,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 3,135 | $9,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 3,061 | $9,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,953 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 151 | $9,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N543 | VICTORYSHS EMERG | 211 | $9,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 2,235 | $9,000 | thousands by filing date | |
| ARROW INVTS TR | 042765719 | RESV CAP ETF | 91 | $9,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 5,295 | $9,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 369 | $9,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 3,616 | $9,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 13,394 | $9,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 29,208 | $9,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,513 | $9,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 2,954 | $9,000 | thousands by filing date | |
| HEPION PHARMACEUTICALS INC | 426897104 | COM | 3,736 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 280 | $9,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 2,075 | $9,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $9,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 9,505 | $9,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 1,959 | $9,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 1,504 | $9,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 2,669 | $9,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 1,840 | $9,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 1,208 | $9,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 10,788 | $9,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 7,382 | $9,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 2,210 | $9,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 1,199 | $9,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F104 | COM | 52,366 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 9,000 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 354 | $9,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W204 | COM | 31,695 | $9,000 | thousands by filing date | |
| PRECIPIO INC | 74019L503 | COM | 3,285 | $9,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 898 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 287 | $9,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 294 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H508 | MUNI ALOCATN ETF | 369 | $9,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 9,000 | $9,000 | thousands by filing date | principal |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 663 | $9,000 | thousands by filing date | |
| LINX S A | 53619W101 | SPONSORED ADS | 1,183 | $9,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643202 | UNIT 05/31/2024 | 900 | $9,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 12,100 | $9,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 3,126 | $9,000 | thousands by filing date | |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 1,690 | $9,000 | thousands by filing date | |
| WANDA SPORTS GROUP CO LTD | 93368R101 | SPONSORED ADS | 2,200 | $9,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 75 | $9,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E654 | MKT HLDGS I VELCTYSHS JPYUSD | 370 | $9,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | 61946M100 | COM CL A | 871 | $9,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 900 | $9,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 573 | $8,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 252 | $8,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 13,931 | $8,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 574 | $8,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 142 | $8,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 100 | $8,000 | thousands by filing date | put |
| MARINEMAX INC | 567908108 | COM | 527 | $8,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N535 | SHORT TRM BD ETF | 154 | $8,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 3,000 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 266 | $8,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 4,326 | $8,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 1,300 | $8,000 | thousands by filing date | |
| Afya Ltd-Class A | G01125106 | COM | 298 | $8,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 5,059 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B169 | CMN | 229 | $8,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 5,150 | $8,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,000 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 800 | $8,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 2,423 | $8,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 3,888 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 470 | $8,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 350 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 300 | $8,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 3,527 | $8,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 613 | $8,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 342 | $8,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 2,638 | $8,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 553 | $8,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 1,728 | $8,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 3,069 | $8,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,500 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 2,500 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 300 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,390 | $8,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 1,499 | $8,000 | thousands by filing date | |
| ARTELO BIOSCIENCES INC | 04301G201 | COM NEW | 3,630 | $8,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J200 | COM | 4,792 | $8,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505756 | INNOVATION SHS | 400 | $8,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $8,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 553 | $8,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 1,625 | $8,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 9,545 | $8,000 | thousands by filing date | |
| PIVOTAL ACQUISITION CORP | 72583A101 | CL A COM | 778 | $8,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 4,247 | $8,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 31,984 | $8,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 2,800 | $8,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 2,259 | $8,000 | thousands by filing date | |
| EDESA BIOTECH INC | 27966L108 | COM | 1,260 | $8,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G102 | LADRD FD US EQT | 226 | $8,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 9,802 | $8,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 216 | $8,000 | thousands by filing date | |
| ADVISORSHARES NEW TECH AND MEDIA ETF | 00768Y552 | ETF | 805 | $8,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 8,814 | $8,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 2,895 | $8,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 6,643 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E653 | DLY EUR STX 3X | 408 | $8,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W208 | UNIT 06/01/2025 | 747 | $8,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 5,357 | $8,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,358 | $8,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 2,899 | $8,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 473 | $8,000 | thousands by filing date | |
| GIGCAPITAL2 INC | 375036209 | UNIT 02/28/2026 | 742 | $8,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E464 | VELCTYSHS GBPUSD | 222 | $8,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R114 | UNIT 06/21/2023 | 750 | $8,000 | thousands by filing date | |
| REALITY | 75605A801 | SHS ETF TR NASDAQ NEXGEN | 400 | $8,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 1,577 | $7,000 | thousands by filing date | |
| AUDIOEYE INC | 050734201 | COM NEW | 1,827 | $7,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 13,354 | $7,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 3,913 | $7,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 200 | $7,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 936 | $7,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 1,044 | $7,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,269 | $7,000 | thousands by filing date | |
| TIDAL TR III ETF IMPACT SHARES WOMEN'S EMPOWERMENT | 45259A100 | ETF | 341 | $7,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 200 | $7,000 | thousands by filing date | put |
| COFFEE HLDG CO INC | 192176105 | COM | 1,856 | $7,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 443 | $7,000 | thousands by filing date | |
| ISHARES TR | 46435G441 | ESG ADVNCD HY BD | 140 | $7,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092543 | CMN | 313 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051259 | XTRACKERS HIGH | 144 | $7,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 360 | $7,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 178 | $7,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 1,025 | $7,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 4,933 | $7,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 5,200 | $7,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 1,060 | $7,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 2,919 | $7,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 1,324 | $7,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 2,050 | $7,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 3,895 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P589 | FUND | 159 | $7,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 2,889 | $7,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 4,077 | $7,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 720 | $7,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 9,830 | $7,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 4,716 | $7,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 515 | $7,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 280 | $7,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 619 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 217 | $7,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 4,677 | $7,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LIMITED NEW SPONSRD ADR | 37185R307 | NEW SPONSRD ADR | 3,517 | $7,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 3,741 | $7,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q613 | US AGGREGATE | 256 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 409 | $7,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 5,126 | $7,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 15,165 | $7,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 7,000 | $7,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 4,735 | $7,000 | thousands by filing date | |
| TIDAL ETF TR | 886364504 | SOFI BE YOUR OWN | 384 | $7,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 4,793 | $7,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 1,044 | $7,000 | thousands by filing date | |
| BLUE HAT INTERACTIVE ENTMT T | G1329V106 | SHS | 2,100 | $7,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 67,225 | $7,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 468 | $7,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 450 | $7,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827110 | *W EXP 06/27/202 | 4,650 | $7,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 3,158 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J684 | BULLSHS 21 USD | 286 | $7,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 4,049 | $7,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 13,488 | $7,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 1,669 | $7,000 | thousands by filing date | |
| PERFORMANCE SHIPPING INC | Y67305105 | COM | 7,434 | $7,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F204 | COM NEW | 2,221 | $7,000 | thousands by filing date | |
| VIVALDI OPPORTUNITIES FD | 92853C207 | Equity | 526 | $7,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 33,505 | $7,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 200 | $6,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 1,233 | $6,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 125 | $6,000 | thousands by filing date | principal |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 990 | $6,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 215 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P301 | MUNI HI INCM ETF | 106 | $6,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 10,285 | $6,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 460 | $6,000 | thousands by filing date | |
| NEW YORK LIFE INVTS ACTIVE E | 45409F827 | NYLI MACKAY MUN | 240 | $6,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,546 | $6,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 453 | $6,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 23,648 | $6,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,734 | $6,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 236 | $6,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 988 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 223 | $6,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,790 | $6,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 3,150 | $6,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 2,234 | $6,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,465 | $6,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 233 | $6,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E780 | CMN | 243 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P603 | CMN | 246 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 286 | $6,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 2,019 | $6,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 483 | $6,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 365 | $6,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 1,067 | $6,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 797 | $6,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 15,531 | $6,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 1,882 | $6,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 258 | $6,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 3,125 | $6,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N103 | COM | 600 | $6,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 1,518 | $6,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 100 | $6,000 | thousands by filing date | put |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 4,571 | $6,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 6,363 | $6,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 6,000 | $6,000 | thousands by filing date | principal |
| IMAC HLDGS INC | 44967K104 | COM | 1,657 | $6,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 16,358 | $6,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 3,444 | $6,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 4,695 | $6,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 9,308 | $6,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 200 | $6,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 1,208 | $6,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 865 | $6,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 6,637 | $6,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 318 | $6,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 1,824 | $6,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 225 | $6,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 2,139 | $6,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 501 | $6,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468203 | COM NEW | 3,255 | $6,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 3,989 | $6,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 4,570 | $6,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 4,091 | $6,000 | thousands by filing date | |
| THE9 LTD SPON ADS NEW | 88337K203 | ADR | 6,038 | $6,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 1,214 | $6,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC COM | 40145Q203 | Stock | 8,302 | $6,000 | thousands by filing date | |
| Tuanche Limited | 89856T104 | American Depositary Shares | 2,778 | $6,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P503 | DELTASHS S&P | 119 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A677 | NATIONWIDE ETF | 187 | $6,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 2,205 | $6,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G208 | UNIT 09/07/2024 | 606 | $6,000 | thousands by filing date | |
| JMU LTD | 46647L204 | SPONSORED ADS | 6,741 | $6,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 952 | $6,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 600 | $6,000 | thousands by filing date | |
| SHINECO INC COM NEW | 824567200 | Stock | 11,522 | $6,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 5,637 | $6,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 196 | $6,000 | thousands by filing date | |
| OAKTREE ACQUISITION CORP | G67145121 | UNIT 99/99/9999 | 600 | $6,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A123 | UNIT 08/01/2024 | 600 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051465 | XTRCK BRCLY INTL | 111 | $6,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E109 | COM | 550 | $6,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,241 | $5,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 200 | $5,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 3,973 | $5,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 1,745 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A222 | APTUS COLLRD INV | 217 | $5,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 207 | $5,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 374 | $5,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 1,494 | $5,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 2,354 | $5,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 278 | $5,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 600 | $5,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 1,115 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 191 | $5,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 2,939 | $5,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,100 | $5,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 1,973 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 2,554 | $5,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 473 | $5,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 5,463 | $5,000 | 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 |