13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 8,204 holding rows worth $287,399,892,000.
- Accession
- 0000950123-20-002037
- Filer
- CIK 1610520
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A combination report, 13,930 entries on the cover page, a total value of $287,399,892,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $287,400,007,000 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 |
|---|---|---|---|---|---|---|
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 10,086 | $233,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 20,196 | $232,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 17,157 | $232,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 47,584 | $232,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 57,675 | $231,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 9,000 | $231,000 | thousands by filing date | call |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 10,116 | $231,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 32,061 | $231,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 23,582 | $231,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 1,938 | $231,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 31,649 | $230,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 808 | $230,000 | thousands by filing date | |
| GARRETT MOTION INC | 366505105 | COM | 23,006 | $230,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 4,800 | $230,000 | thousands by filing date | put |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 7,500 | $229,000 | thousands by filing date | put |
| KVH INDS INC | 482738101 | COM | 20,601 | $229,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 19,875 | $229,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 12,065 | $228,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 52,370 | $228,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J627 | ESG REV ETF | 6,575 | $228,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 28,713 | $228,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 2,246 | $228,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 6,260 | $227,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 25,795 | $227,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 6,371 | $227,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 37,595 | $227,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 27,950 | $227,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 124,971 | $227,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 20,189 | $226,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 2,570 | $226,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 9,447 | $225,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 5,830 | $225,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 34,000 | $224,000 | thousands by filing date | call |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 27,000 | $224,000 | thousands by filing date | call |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 286,221 | $224,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 2,962 | $223,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 6,814 | $222,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 2,516 | $221,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 90,684 | $221,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 28,319 | $220,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 10,062 | $220,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 31,560 | $219,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 7,890 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 18,174 | $219,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 11,520 | $219,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 12,749 | $219,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 11,302 | $218,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 241,790 | $218,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 10,052 | $217,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 7,760 | $217,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 3,890 | $217,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 19,038 | $216,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 16,381 | $216,000 | thousands by filing date | |
| GROCERY OUTLET HLDG CORP COM | 39874R101 | Stock | 6,648 | $215,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 9,708 | $215,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 5,071 | $215,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 6,770 | $215,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 17,182 | $215,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 27,084 | $214,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 15,768 | $214,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 2,886 | $213,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 3,615 | $213,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 3,956 | $212,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 45,000 | $212,000 | thousands by filing date | call |
| BIO RAD LABS INC | 090572108 | CL B | 572 | $212,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 58,589 | $212,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 1,415 | $211,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 21,508 | $211,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 24,979 | $210,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 1,840 | $210,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 16,181 | $210,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 15,234 | $210,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 18,968 | $210,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 95,452 | $210,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 13,029 | $210,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 27,228 | $209,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 10,609 | $208,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 52,695 | $208,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 19,569 | $208,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 198,200 | $208,000 | thousands by filing date | call |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 11,476 | $208,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 32,847 | $208,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 7,820 | $207,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 1,000 | $207,000 | thousands by filing date | call |
| OHIO VY BANC CORP | 677719106 | COM | 5,228 | $207,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 26,474 | $207,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 21,423 | $207,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 12,405 | $207,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 37,444 | $207,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 67,101 | $207,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 41,148 | $206,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 6,628 | $206,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 14,453 | $206,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 12,159 | $206,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 41,578 | $206,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 73,692 | $205,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 26,246 | $204,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 13,791 | $204,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 8,773 | $202,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 23,938 | $202,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 12,433 | $201,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 9,072 | $201,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 48,448 | $201,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 5,304 | $200,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 23,181 | $200,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 15,927 | $200,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 44,391 | $199,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 14,874 | $199,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 10,474 | $199,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 64,421 | $199,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 13,457 | $199,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 10,800 | $197,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 4,960 | $197,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 7,684 | $196,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 3,760 | $195,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 9,128 | $195,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 4,359 | $194,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 15,838 | $194,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 13,703 | $194,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 4,278 | $194,000 | thousands by filing date | |
| PROSHARES TR | 74347B706 | COM | 2,577 | $194,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 10,097 | $193,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 2,156 | $193,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 117,913 | $193,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 6,202 | $192,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 5,100 | $192,000 | thousands by filing date | call |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 17,960 | $192,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 6,074 | $192,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R101 | CLASS A | 19,000 | $192,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 7,500 | $191,000 | thousands by filing date | put |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 14,728 | $191,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 88,089 | $191,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 26,028 | $190,000 | thousands by filing date | |
| MOTLEY FOOL SMALL-CAP GROWTH ETF | 74933W874 | ETF | 7,399 | $190,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 4,555 | $190,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 12,615 | $190,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 26,551 | $190,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,700 | $189,000 | thousands by filing date | put |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 6,811 | $189,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 3,639 | $189,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 5,240 | $189,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 52,000 | $189,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 7,504 | $189,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 2,111 | $189,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 44,595 | $188,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 11,397 | $188,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 81,706 | $188,000 | thousands by filing date | |
| CERENCE INC COM | 156727109 | Stock | 8,275 | $187,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 42,866 | $187,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 12,035 | $187,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 61,835 | $186,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 5,000 | $185,000 | thousands by filing date | call |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 9,270 | $185,000 | thousands by filing date | |
| ENDAVA PLC ADS | 29260V105 | ADR | 3,947 | $184,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 16,406 | $184,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 70,041 | $184,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 12,045 | $184,000 | thousands by filing date | |
| PROSHARES TR | 74347X815 | ULTRA MDCAP400 | 1,492 | $184,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 12,980 | $184,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 18,063 | $184,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 122,272 | $183,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 6,734 | $183,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 9,309 | $182,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 12,770 | $181,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 28,126 | $181,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 8,216 | $180,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 22,496 | $180,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 4,985 | $179,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 3,454 | $179,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 13,184 | $179,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 5,193 | $178,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 7,301 | $178,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 6,693 | $178,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 20,395 | $178,000 | thousands by filing date | |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 4,513 | $178,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 43,645 | $178,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 108,476 | $178,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 3,415 | $178,000 | thousands by filing date | |
| NATIONAL VISION HLDGS INC COM | 63845R107 | Stock | 5,449 | $177,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 46,792 | $177,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C104 | CL A COM | 17,374 | $177,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06744M836 | NT LKD SER B26 | 1,123 | $177,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CO COM | 80821R109 | Stock | 17,425 | $176,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 17,000 | $175,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 6,186 | $175,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 4,252 | $175,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 159,913 | $175,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 10,840 | $174,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 8,243 | $174,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 80,391 | $174,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 10,760 | $174,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 2,886 | $173,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 16,695 | $173,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 15,734 | $173,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 4,503 | $173,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 14,028 | $172,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 2,472 | $172,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 10,000 | $171,000 | thousands by filing date | put |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 59,387 | $170,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 18,381 | $170,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 6,955 | $170,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 7,480 | $169,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 54,785 | $169,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 7,685 | $169,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 10,135 | $169,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 1,923 | $168,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 279 | $168,000 | thousands by filing date | |
| PROSHARES TR | 74348A582 | ULTRAPRO FINLS | 1,486 | $168,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 13,246 | $167,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 21,405 | $167,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 124,458 | $167,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 11,327 | $167,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH VE | 22542d316 | COM | 1,189 | $167,000 | thousands by filing date | |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 1,353 | $167,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 27,746 | $166,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 62,480 | $166,000 | thousands by filing date | |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 4,257 | $166,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 2,872 | $166,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 43,015 | $166,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 84,509 | $166,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 20,043 | $165,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 8,481 | $165,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 23,289 | $165,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 20,394 | $165,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 4,737 | $165,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 10,605 | $164,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 38,705 | $164,000 | thousands by filing date | |
| Gaotu Techedu Inc | 36257Y109 | COM | 7,500 | $164,000 | thousands by filing date | put |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 40,791 | $164,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 26,855 | $163,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 20,701 | $163,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 6,193 | $163,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 14,761 | $163,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 30,296 | $163,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 1,069 | $162,000 | thousands by filing date | |
| CIIG MERGER CORP | 12559C202 | UNIT 12/31/2026 | 15,900 | $162,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 60,000 | $160,000 | thousands by filing date | call |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 5,000 | $160,000 | thousands by filing date | put |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 11,923 | $160,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 55,570 | $159,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 7,500 | $159,000 | thousands by filing date | put |
| ECHOSTAR CORP | 278768106 | CL A | 3,673 | $159,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 178,510 | $159,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 79,642 | $159,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 7,111 | $159,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 9,604 | $158,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 14,123 | $158,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 7,584 | $158,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 19,761 | $158,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 764 | $158,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 9,450 | $158,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 2,466 | $158,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 1,666 | $157,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 14,668 | $157,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 4,020 | $157,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 13,694 | $157,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 10,481 | $156,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 16,395 | $156,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 169,254 | $155,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 10,749 | $154,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 13,998 | $154,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 32,426 | $154,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 817 | $154,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 5,039 | $153,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 58,229 | $153,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 12,806 | $153,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754106 | COM | 15,000 | $153,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 4,362 | $153,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 15,419 | $152,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 8,898 | $152,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 2,630 | $151,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 1,677 | $151,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Municipal Bond ETF | 46435U283 | ETF | 5,820 | $151,000 | thousands by filing date | |
| iShares iBonds Dec. 2026 Municipal Bond ETF | 46435U259 | ETF | 5,822 | $151,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 36,932 | $151,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 9,271 | $151,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 13,574 | $151,000 | thousands by filing date | |
| GS FIN CORP | 362273302 | MEDIUM TERM NTS | 1,044 | $151,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 400 | $150,000 | thousands by filing date | call |
| GENERAL MILLS INC COM | 370334104 | Stock | 2,800 | $150,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 4,000 | $150,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 11,957 | $150,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 21,159 | $149,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 8,723 | $149,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 11,953 | $149,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 37,496 | $149,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 9,653 | $149,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 6,798 | $148,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 10,402 | $148,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 13,464 | $148,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 116,717 | $148,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 17,475 | $147,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 20,353 | $147,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 8,859 | $147,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 51,319 | $147,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 6,284 | $147,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 26,245 | $147,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 2,126 | $147,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 4,334 | $146,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 69,305 | $146,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 12,352 | $146,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 5,659 | $146,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 10,401 | $145,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 24,432 | $145,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 55,603 | $144,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 50,000 | $144,000 | thousands by filing date | put |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 5,275 | $144,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 35,184 | $144,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 2,300 | $143,000 | thousands by filing date | call |
| OSI SYSTEMS INC | 671044105 | COM | 1,419 | $143,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 9,966 | $143,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 4,970 | $143,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 688 | $143,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A507 | MDRTLY CNSRTIV | 10,399 | $143,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 1,500 | $142,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 59,017 | $142,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 16,173 | $142,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P611 | CMN | 5,629 | $142,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 8,302 | $142,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 9,870 | $142,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 1,851 | $141,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 8,040 | $141,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 15,037 | $140,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 19,494 | $140,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 21,641 | $140,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 2,687 | $140,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 155,913 | $139,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 40,357 | $139,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 5,178 | $139,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 9,072 | $138,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 6,892 | $138,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 32,389 | $138,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 28,137 | $138,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 8,372 | $137,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 14,267 | $137,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 165,785 | $137,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 30,804 | $137,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 3,013 | $136,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 13,237 | $136,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 13,773 | $136,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 10,777 | $136,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 10,543 | $136,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 3,423 | $136,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 800 | $135,000 | thousands by filing date | put |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 20,096 | $135,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 41,412 | $135,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 2,756 | $135,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 7,012 | $135,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 87,219 | $135,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 11,093 | $135,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 1,957 | $134,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 2,645 | $133,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 31,634 | $133,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 3,240 | $133,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 500 | $132,000 | thousands by filing date | put |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 1,383 | $132,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 3,000 | $132,000 | thousands by filing date | put |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 8,983 | $132,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 12,260 | $132,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 52,779 | $132,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 20,068 | $132,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 8,062 | $132,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 11,216 | $131,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 39,851 | $131,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 3,129 | $131,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 8,505 | $130,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 14,524 | $130,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 1,879 | $129,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 2,280 | $129,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 16,627 | $128,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 44,289 | $128,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 5,429 | $128,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 3,750 | $128,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 3,466 | $128,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 6,528 | $128,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 5,256 | $128,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 2,000 | $127,000 | thousands by filing date | put |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 2,000 | $127,000 | thousands by filing date | call |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 2,000 | $127,000 | thousands by filing date | call |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 12,614 | $127,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 90,630 | $127,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 22,996 | $126,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 11,485 | $126,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E711 | CMN | 2,778 | $126,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 5,253 | $126,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 800 | $125,000 | thousands by filing date | put |
| ASTRONOVA INC | 04638F108 | COM | 9,123 | $125,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 14,833 | $125,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 5,200 | $125,000 | thousands by filing date | put |
| COVIA HLDGS CORP | 22305A103 | COM | 61,095 | $125,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22542D290 | VELOCITY SHS ETN | 1,366 | $125,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 150,000 | $124,000 | thousands by filing date | put |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 34,144 | $124,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 24,770 | $124,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 55,370 | $124,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 12,500 | $124,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 2,881 | $123,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 1,505 | $122,000 | thousands by filing date | |
| VANECK LONG/FLAT TREND ETF | 92189F148 | LONG/FLAT TREND | 4,061 | $122,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 30,972 | $122,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 59,617 | $122,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 32,804 | $122,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 26,814 | $122,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 26,089 | $122,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 6,596 | $121,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 11,610 | $121,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 2,361 | $121,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 5,589 | $121,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 15,221 | $121,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 4,770 | $121,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 4,632 | $120,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 8,840 | $119,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 8,537 | $119,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 13,342 | $119,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 32,163 | $119,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 31,459 | $119,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539U107 | FI ENHNCD EUR 50 | 1,141 | $119,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 4,817 | $118,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 10,865 | $118,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 27,979 | $118,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 17,149 | $118,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 300 | $117,000 | thousands by filing date | put |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 4,449 | $117,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 40,538 | $117,000 | thousands by filing date | |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 5,190 | $116,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 10,668 | $116,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 3,129 | $116,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 37,065 | $115,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 2,273 | $115,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 21,390 | $115,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 11,566 | $115,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 175,092 | $115,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 1,500 | $114,000 | thousands by filing date | put |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 8,123 | $114,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 1,768 | $114,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 1,566 | $114,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 4,280 | $114,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 9,027 | $114,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 342 | $114,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 1,896 | $114,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 8,036 | $113,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 3,586 | $113,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 120,885 | $113,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 11,472 | $113,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 5,729 | $113,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 20,500 | $113,000 | thousands by filing date | call |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 44,208 | $112,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 8,042 | $112,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 4,653 | $111,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 26,172 | $111,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430297 | HUMAN EVOLUTION | 1,975 | $111,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 7,500 | $110,000 | thousands by filing date | call |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 43,747 | $110,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 19,880 | $110,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 18,059 | $110,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 9,775 | $110,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 17,834 | $110,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 2,903 | $109,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 27,647 | $109,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G748 | RUSL 1000 QTLY | 3,420 | $109,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 4,666 | $107,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 7,765 | $107,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 2,800 | $107,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 43,947 | $107,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 5,386 | $107,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 1,000 | $106,000 | thousands by filing date | put |
| ALERUS FINL CORP | 01446U103 | COM | 4,638 | $106,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 4,161 | $106,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 2,117 | $106,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 301,279 | $106,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 7,240 | $106,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 16,110 | $106,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 7,886 | $106,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 45,583 | $106,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,242 | $106,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 1,996 | $105,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 1,505 | $105,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 1,490 | $105,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R108 | BBG COMMD K 1 | 4,316 | $105,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 2,049 | $105,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 68,557 | $105,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 4,162 | $105,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 4,089 | $104,000 | thousands by filing date | |
| ALUSSA ENERGY ACQUISITION CO | G0232J127 | UNIT 10/31/2026 | 10,350 | $104,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 8,303 | $103,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 2,567 | $103,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 2,665 | $103,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 1,639 | $103,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 3,760 | $103,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 7,237 | $103,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 73,770 | $103,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 4,102 | $103,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 57,507 | $103,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K166 | DAILY EUROPEAN | 3,273 | $103,000 | thousands by filing date | |
| DESIGNER BRANDS INC | 250565108 | CL A | 6,485 | $102,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 2,129 | $102,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 1,899 | $102,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 14,733 | $102,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 4,929 | $102,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 3,507 | $102,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-002037 | this filing | 2020-02-14 | acceptance time not in the bulk data set |