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 |
|---|---|---|---|---|---|---|
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 18,065 | $5,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 2,558 | $5,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 625 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 66 | $5,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 146 | $5,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 7,087 | $5,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 1,053 | $5,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 3,328 | $5,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 5,000 | $5,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 5,000 | $5,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 3,727 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P464 | FUND | 96 | $5,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 6,211 | $5,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,495 | $5,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 6,921 | $5,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 1,684 | $5,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 1,285 | $5,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 468 | $5,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 1,410 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 69 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 200 | $5,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $5,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 14,300 | $5,000 | thousands by filing date | |
| TIDAL ETF TR | 886364207 | SOFI SELCT 500 | 439 | $5,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 9,413 | $5,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 7,496 | $5,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 6,220 | $5,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 3,780 | $5,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 8,645 | $5,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 2,920 | $5,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 8,919 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 234 | $5,000 | thousands by filing date | |
| PLANET GREEN HLDGS CORP | 72703U102 | COM | 1,450 | $5,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 4,504 | $5,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 1,682 | $5,000 | thousands by filing date | |
| MMTEC INC | G6181K106 | SHS | 1,788 | $5,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 273 | $5,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F102 | COM CL A | 490 | $5,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 6,450 | $5,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 3,982 | $5,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A307 | COM PAR | 11,557 | $5,000 | thousands by filing date | |
| TRIDENT ACQUISITIONS CORP | 89615T205 | UNIT 05/09/2023 | 470 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | |
| TAOPING INC COM | G8675V101 | Stock | 10,033 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 94 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 196 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K117 | DAILY NAT GAS RE | 82 | $5,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 12,555 | $5,000 | thousands by filing date | |
| MANAGED PORTFOLIO SER | 56167N555 | TORTOISE CLOUD | 185 | $5,000 | thousands by filing date | |
| INPIXON | 45790J503 | COM PAR | 40,011 | $5,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,000 | $4,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 74 | $4,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 254 | $4,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 150 | $4,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L607 | MULTI SEC MUNI | 200 | $4,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 686 | $4,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 1,160 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P863 | CALIF MUN INCM | 81 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $4,000 | thousands by filing date | principal |
| UNITED BANCORP INC OHIO | 909911109 | COM | 326 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 48 | $4,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 4,499 | $4,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 540 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y782 | EMGRING MKTS | 206 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 147 | $4,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 142 | $4,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,100 | $4,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q449 | BETA US GRAD ETF | 79 | $4,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,155 | $4,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 2,771 | $4,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 4,450 | $4,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 4,971 | $4,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 417 | $4,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 559 | $4,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 141 | $4,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 358 | $4,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 1,802 | $4,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 3,247 | $4,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 2,113 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 150 | $4,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 3,000 | $4,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 1,144 | $4,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 798 | $4,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 2,310 | $4,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 175 | $4,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 984 | $4,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 3,148 | $4,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,069 | $4,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 6,604 | $4,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 207 | $4,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 221 | $4,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641810 | CMCI GOLD ETN | 102 | $4,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 5,084 | $4,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 11,477 | $4,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 225 | $4,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 1,932 | $4,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 6,022 | $4,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,482 | $4,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 152 | $4,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 2,000 | $4,000 | thousands by filing date | |
| AKERNA CORP | 00973W110 | WTS | 5,485 | $4,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 854 | $4,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 5,360 | $4,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 2,481 | $4,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 8,615 | $4,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 4,451 | $4,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q706 | COM PAR | 2,930 | $4,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 155 | $4,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E300 | COM NEW | 8,839 | $4,000 | thousands by filing date | |
| PRINCIPAL CONTRARIAN VALUE INDEX ETF | 74255Y862 | ETF | 156 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745T368 | ETF | 117 | $4,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 596 | $4,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES L | M56595149 | SHS NEW | 212 | $4,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N106 | COM | 4,849 | $4,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 660 | $4,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 298 | $4,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 2,391 | $4,000 | thousands by filing date | |
| CHINA INTERNET NATIONWIDE FI | G2120A101 | SHS | 2,773 | $4,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 2,468 | $4,000 | thousands by filing date | |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 246 | $4,000 | thousands by filing date | |
| PECK CO HLDGS INC | 705163103 | COM NEW | 802 | $4,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 10,504 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 345 | $4,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 3,696 | $4,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 110 | $4,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 2,000 | $4,000 | thousands by filing date | principal |
| CHINA RECYCLING ENERGY CORP | 168913200 | COM NEW | 10,360 | $4,000 | thousands by filing date | |
| DROPCAR INC | 26210U203 | COM NEW | 5,430 | $4,000 | thousands by filing date | |
| GREENLAND ACQUISITIN CORPORA | G40981121 | UNIT 03/03/2025 | 399 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B128 | ULTRPRO COM SR | 90 | $4,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 6,009 | $4,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W874 | MLT FCTR INCM | 169 | $4,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 2,100 | $3,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 450 | $3,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 654 | $3,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 255 | $3,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 828 | $3,000 | thousands by filing date | |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 68 | $3,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 410 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 102 | $3,000 | thousands by filing date | |
| AMERICAN RES CORP | 02927U208 | CL A | 4,904 | $3,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 149 | $3,000 | thousands by filing date | principal |
| ARK RESTAURANTS CORP | 040712101 | COM | 150 | $3,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 500 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 100 | $3,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 1,124 | $3,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 307 | $3,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 720 | $3,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 2,913 | $3,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 767 | $3,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 1,124 | $3,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 200 | $3,000 | thousands by filing date | |
| SPDR SER TR | 78468R689 | S&P KENSHO SMART | 104 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 47 | $3,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 330 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 100 | $3,000 | thousands by filing date | |
| WESTWATER RES INC | 961684206 | COM NEW | 999 | $3,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 3,507 | $3,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 674 | $3,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 379 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 200 | $3,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 1,288 | $3,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 1,407 | $3,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 245 | $3,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 3,170 | $3,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 4,000 | $3,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 3,071 | $3,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 2,895 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P431 | FUND | 79 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 109 | $3,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 4,076 | $3,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 1,101 | $3,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 322 | $3,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,734 | $3,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 3,000 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 65 | $3,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 173 | $3,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 94 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 216 | $3,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 3,000 | $3,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 140 | $3,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 156 | $3,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 4,681 | $3,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 4,015 | $3,000 | thousands by filing date | |
| NULL | 09071M205 | NULL | 1,079 | $3,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 2,422 | $3,000 | thousands by filing date | |
| VERB TECHNOLOGY CO INC | 92337U104 | COM | 3,075 | $3,000 | thousands by filing date | |
| BRICKELL BIOTECH INC | 10802T105 | COM | 809 | $3,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 2,421 | $3,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 29,822 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J692 | STRG EMERG ETF | 107 | $3,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 2,289 | $3,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 3,774 | $3,000 | thousands by filing date | |
| ALTERITY THERAPEUTICS LTD | 02155X106 | SPONSORED ADR | 2,352 | $3,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 168 | $3,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K112 | *W EXP 02/12/202 | 5,844 | $3,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,512 | $3,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 2,818 | $3,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 595 | $3,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 1,252 | $3,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 100 | $3,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 9,559 | $3,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 1,933 | $3,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 3,823 | $3,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| KAIXIN AUTO HLDGS | G5223X100 | CMN | 1,792 | $3,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,000 | $3,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 82 | $3,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P751 | FTSE ITALY ETF | 127 | $3,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015503 | COM | 2,772 | $3,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 1,453 | $3,000 | thousands by filing date | |
| APEX GLOBAL BRANDS INC | 03755M201 | COM NEW | 1,922 | $3,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 5,569 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 99 | $3,000 | thousands by filing date | |
| PUHUI WEALTH INVT MGMT CO LT | G7306H101 | SHS | 1,302 | $3,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 3,691 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A651 | NATIONWIDE MAX | 86 | $3,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 4,536 | $3,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 1,669 | $3,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 6,720 | $3,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 2,002 | $3,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 2,000 | $3,000 | thousands by filing date | principal |
| OBALON THERAPEUTICS INC COM NE | 67424l209 | COM | 2,012 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS SALT HIG TRUBT | 26922A479 | Stock | 100 | $3,000 | thousands by filing date | |
| DPW HLDGS INC COM | 26140E600 | Stock | 1,507 | $3,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M201 | UNIT 99/99/9999 | 274 | $3,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372132 | ORD SHS | 300 | $3,000 | thousands by filing date | |
| DIGIRAD CORP | 253827703 | COM NEW | 565 | $3,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 900 | $3,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 3,597 | $3,000 | thousands by filing date | |
| Reebonz Holding Limited | G7457R122 | SHS | 2,828 | $3,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N122 | *W EXP 06/08/202 | 5,037 | $3,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G714 | RUSL 1000 YIEL | 100 | $3,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 3,021 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K299 | LTN AM BL 3X NEW | 192 | $3,000 | thousands by filing date | |
| GLOWPOINT INC | 379887508 | COM | 3,466 | $3,000 | thousands by filing date | |
| NEW FRONTIER CORP | G6485P116 | UNIT 99/99/9999 | 269 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 64 | $2,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 38 | $2,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 74 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 55 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 97 | $2,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 260 | $2,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 400 | $2,000 | thousands by filing date | |
| ISHARES TR ETF GENOMICS IMMUNOLOGY & HEALTHCARE | 46435U192 | ETF | 68 | $2,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 129 | $2,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 2,649 | $2,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 34 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 62 | $2,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 2,910 | $2,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 90 | $2,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072208 | CMN | 50 | $2,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 1,884 | $2,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 2,652 | $2,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 922 | $2,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 1,459 | $2,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 572 | $2,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 230 | $2,000 | thousands by filing date | |
| NATUZZI S P A | 63905A200 | SPON ADS | 1,206 | $2,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $2,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 7,117 | $2,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 710 | $2,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 68 | $2,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 1,236 | $2,000 | thousands by filing date | |
| TIDAL TRUST I | 886364306 | SOFI NEXT 500 | 247 | $2,000 | thousands by filing date | |
| X FINL SPONSORED ADS | 98372W103 | ADR | 711 | $2,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 2,000 | $2,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 1,291 | $2,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 500 | $2,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 171 | $2,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 730 | $2,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 1,677 | $2,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 2,687 | $2,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 939 | $2,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 2,212 | $2,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 1,000 | $2,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 1,000 | $2,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 64 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 70 | $2,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 2,468 | $2,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 1,574 | $2,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 143 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 50 | $2,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 1,015 | $2,000 | thousands by filing date | |
| PINTEC TECHNOLOGY HLDGS LTD SPONSORED ADS | 72352G107 | ADR | 1,465 | $2,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,480 | $2,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 5,187 | $2,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 534 | $2,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 100 | $2,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 815 | $2,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 1,949 | $2,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 496 | $2,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 1,000 | $2,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 2,335 | $2,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 1,025 | $2,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 223 | $2,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 10,359 | $2,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,000 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y558 | MSCI CHINA CON | 90 | $2,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 554 | $2,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 750 | $2,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 2,183 | $2,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 6,893 | $2,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 3,641 | $2,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A114 | *W EXP 07/31/202 | 9,502 | $2,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 1,054 | $2,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 4,800 | $2,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M133 | UNIT 05/10/2024 | 199 | $2,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC | 29273B112 | *W EXP 05/08/202 | 7,278 | $2,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 12,381 | $2,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 400 | $2,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 346 | $2,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 155 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 93 | $2,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 533 | $2,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W117 | *W EXP 06/01/202 | 1,600 | $2,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L113 | *W EXP 07/31/202 | 3,000 | $2,000 | thousands by filing date | |
| AURIS MEDICAL HOLDING LTD | G07025201 | SHS | 604 | $2,000 | thousands by filing date | |
| Enterprise Federal Bancorp | 26952G107 | Common | 153 | $2,000 | thousands by filing date | |
| SCIENJOY HOLDING CORP SHS | G4887W110 | Common Stock | 200 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 138 | $2,000 | thousands by filing date | |
| Brooge Holdings ltd | G9145A115 | *W EXP 12/20/202 | 6,500 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108706 | Cmn | 71 | $2,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 2,229 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A644 | NATIONWIDE MAX | 90 | $2,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628301 | COM | 1,205 | $2,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N205 | UNIT 03/06/2025 | 200 | $2,000 | thousands by filing date | |
| TOUGHBUILT INDUSTRIES INC | 89157G306 | UNIT 10/10/20233 | 959 | $2,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A131 | RIGHT 12/22/2019 | 5,800 | $2,000 | thousands by filing date | |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 107 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 288 | $1,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 431 | $1,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 66 | $1,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 31 | $1,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 36 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X788 | IPOX EUROPE EQ | 50 | $1,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 594 | $1,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 254 | $1,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E869 | DAILY 500 1X ETF | 32 | $1,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 70 | $1,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 351 | $1,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 100 | $1,000 | thousands by filing date | call |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 411 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 29 | $1,000 | thousands by filing date | |
| IDEAL PWR INC | 451622203 | COM NEW | 450 | $1,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527109 | SHS | 465 | $1,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 850 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R738 | CMN | 50 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L207 | CMN | 79 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435U366 | CMN | 52 | $1,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 70 | $1,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 119 | $1,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P637 | FTSE JAPAN HDG | 25 | $1,000 | thousands by filing date | |
| TIDAL TRUST I | 886364405 | SOFI SOCIAL 50 | 63 | $1,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 51 | $1,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 86 | $1,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 97 | $1,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 111 | $1,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 42 | $1,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 376 | $1,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 2,557 | $1,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 590 | $1,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 64 | $1,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 483 | $1,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 1,251 | $1,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 6,925 | $1,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 113 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G848 | VIRTUS WMC INTNL | 42 | $1,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X309 | COM | 3,182 | $1,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 687 | $1,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 3,570 | $1,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 2,000 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 1,642 | $1,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 101 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 4,279 | $1,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 34 | $1,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 384 | $1,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 665 | $1,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 63 | $1,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 35 | $1,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 1,919 | $1,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 305 | $1,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 3,250 | $1,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 1,211 | $1,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 2,000 | $1,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 1,024 | $1,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E248 | S&P INTL DEV | 20 | $1,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 855 | $1,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 182 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R174 | *W EXP 11/14/202 | 2,104 | $1,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 90 | $1,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 19 | $1,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 217 | $1,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 600 | $1,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 656 | $1,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 210 | $1,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 1,213 | $1,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 45 | $1,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 1,000 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 432 | $1,000 | thousands by filing date | |
| HERMITAGE OFFSHORE SERVICE L | G4511M108 | SHS | 574 | $1,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 62 | $1,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 40 | $1,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 989 | $1,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 1,610 | $1,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931602 | COM NEW | 1,142 | $1,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 3,190 | $1,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 378 | $1,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 850 | $1,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E161 | *W EXP 05/03/202 | 3,050 | $1,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P118 | *W EXP 03/13/202 | 3,062 | $1,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 331 | $1,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 35 | $1,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 348 | $1,000 | thousands by filing date | |
| AIRNET TECHNOLOGY INC | 00941Q104 | SPONSORED ADR | 953 | $1,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U116 | *W EXP 08/08/202 | 6,175 | $1,000 | thousands by filing date | |
| ALBERTON ACQUISITION CORP | G35006108 | ORD SHS | 100 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 101,100 | $1,000 | thousands by filing date | |
| SOLIGENIX INC | 834223117 | *W EXP 11/14/202 | 7,000 | $1,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 708 | $1,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760102 | COM CL A | 100 | $1,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T109 | ORD SHS | 40,190 | $1,000 | thousands by filing date | |
| NEMAURA MED INC | 640442109 | COM | 781 | $1,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 393 | $1,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 1,203 | $1,000 | thousands by filing date | |
| GLOBAL X MSCI CHINA LARGE-CAP 50 ETF | 37954Y566 | ETF | 38 | $1,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679831 | INVERSE ETN | 16 | $1,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N114 | *W EXP 05/30/202 | 7,784 | $1,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 1,066 | $1,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 241 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 70 | $1,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 1,020 | $1,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482111 | *W EXP 12/01/202 | 5,100 | $1,000 | thousands by filing date | |
| GRAF INDL CORP | 384278107 | COM | 100 | $1,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679104 | ETN LKD 36 | 14 | $1,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R130 | RIGHT 07/17/2023 | 4,800 | $1,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W303 | COM | 200 | $1,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 2,181 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 3,612 | $1,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R122 | W EXP 06/21/202 | 4,600 | $1,000 | thousands by filing date | |
| TOTTENHAM ACQUISITION I LTD | G8959N122 | RIGHT 11/06/2020 | 4,649 | $1,000 | thousands by filing date | |
| 8I ENTERPRISES ACQUISITION C | G2956M112 | *W EXP 10/29/202 | 1,500 | $1,000 | thousands by filing date | |
| PACIFIC GLOBAL ETF TR | 69434K106 | US EQ INM ETF | 25 | $1,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 867 | $1,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CO | G3165V117 | UNIT 10/04/2023 | 116 | $1,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 7,000 | $1,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A693 | BRAND VALUE | 80 | $1,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 1,000 | $1,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E121 | RIGHT 99/99/9999 | 2,112 | $1,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 250 | $1,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 1,203 | $1,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 123 | $1,000 | thousands by filing date | |
| MOTIF BIO PLC | 619784101 | SPONSORED ADR | 2,994 | $1,000 | thousands by filing date | |
| MRI INTERVENTIONS INC | 55347P209 | COM NEW | 131 | $1,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N114 | RIGHT 03/06/2020 | 868 | $1,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC | G3206V100 | SHS | 2,500 | $1,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A438 | DEFIANCE FUTUR | 26 | $1,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A115 | *W EXP 02/28/202 | 1,100 | $1,000 | thousands by filing date | |
| PARINGA RESOURCES LIMITED | 69949M100 | SPONSORED ADS | 539 | $1,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J118 | *W EXP 03/06/202 | 2,600 | $1,000 | thousands by filing date | |
| GREENLAND ACQUISITIN CORPORA | G40981113 | RIGHT 04/27/2025 | 1,408 | $1,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131301 | COM | 184 | $1,000 | thousands by filing date | |
| CHASERG TECHNLGY ACQUISITN C | 16166A202 | UNIT 09/30/2023 | 100 | $1,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 78 | $1,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760128 | *W EXP 12/05/202 | 1,700 | $1,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 246 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANKLIN TEMPLETON ETF TR | 35473P827 | FTSE CANADA | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FERROGLOBE PLC | G33856108 | SHS | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROVISION INC DEL | 594960304 | COM NEW | 394 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUELCELL ENERGY INC | 35952H601 | COM | 363 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRO DEX INC | 74265M205 | COMMON STOCK | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCUGEN INC | 67577C105 | COMMON STOCK | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEPHROS INC | 640671400 | COM | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| TECOGEN INC NEW | 87876P201 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 6,557 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DAVIS FUNDAMENTAL ETF TR | 23908L405 | CMN | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 290 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 213 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ULTRALIFE CORP | 903899102 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLEXSHARES TR | 33939L670 | CRE SLCT BD FD | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WTS/ALLEGRO MERGER CORP EXP01/06/25 | 01749N111 | WARR | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 98 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAVERIX METALS INC | 57776F405 | COMMON STOCK-FO | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 380 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERTEX ENERGY INC | 92534K107 | COM | 198 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G169 | RUSSELL 1000 US | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |