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 |
|---|---|---|---|---|---|---|
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 86,135 | $102,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 49,027 | $102,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 3,487 | $101,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 6,107 | $101,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 41,730 | $101,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 17,256 | $101,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 10,456 | $101,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 1,000 | $100,000 | thousands by filing date | put |
| GUESS INC COM | 401617105 | Stock | 4,461 | $100,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 6,875 | $100,000 | thousands by filing date | |
| QIAGEN NV | N72482AB3 | DEBT 0.875% 3/1 | 80,000 | $100,000 | thousands by filing date | principal |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 89,156 | $100,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 14,296 | $100,000 | thousands by filing date | |
| FIRST SEACOAST BANCORP | 33631P102 | COM | 10,624 | $100,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 9,699 | $100,000 | thousands by filing date | |
| TORM PLC SHS CL A | G89479102 | Stock | 9,166 | $99,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 1,079 | $99,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 10,610 | $99,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 19,769 | $99,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 23,544 | $99,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,508 | $99,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 67,221 | $99,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 20,449 | $98,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 25,192 | $98,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 2,700 | $98,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,657 | $98,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 11,283 | $98,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 1,827 | $98,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 11,121 | $98,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 400 | $97,000 | thousands by filing date | put |
| NEXTDECADE CORP | 65342K105 | COM | 15,779 | $97,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 11,520 | $97,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 814 | $97,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 5,592 | $96,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 6,032 | $96,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 4,717 | $95,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 14,900 | $95,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 66,742 | $95,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 3,346 | $95,000 | thousands by filing date | |
| INSURANCE ACQUISITION CORP | 457867109 | CL A | 9,500 | $95,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 4,505 | $94,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 6,317 | $94,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 3,617 | $94,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 30,174 | $93,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 1,864 | $92,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 8,677 | $92,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 1,947 | $92,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 13,294 | $92,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 11,157 | $92,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 4,200 | $91,000 | thousands by filing date | call |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 2,011 | $91,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 3,597 | $91,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 2,391 | $91,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 3,520 | $91,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 3,909 | $91,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 22,836 | $91,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 33,215 | $91,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 18,270 | $91,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 9,979 | $91,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 5,164 | $91,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 1,720 | $90,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 2,340 | $90,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 5,000 | $90,000 | thousands by filing date | call |
| FARMMI INC SHS NEW | G33277107 | Stock | 120,375 | $90,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 2,081 | $89,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 1,199 | $89,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 19,164 | $89,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q381 | BETABLDRS 1-5YR | 3,490 | $89,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 3,329 | $89,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 5,129 | $88,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 23,770 | $88,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 1,296 | $87,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 818 | $87,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 1,385 | $87,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 5,452 | $87,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 3,205 | $87,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 20,118 | $86,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 4,526 | $86,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 1,695 | $86,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 3,022 | $86,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 6,337 | $85,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 3,387 | $85,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 6,376 | $85,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072505 | DIVERSIFIED MU | 1,600 | $85,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 10,000 | $85,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 60,000 | $85,000 | thousands by filing date | principal |
| HECLA MNG CO | 422704106 | COM | 24,847 | $84,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 12,501 | $84,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E661 | CMN | 1,454 | $84,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 9,400 | $84,000 | thousands by filing date | put |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 900 | $83,000 | thousands by filing date | call |
| DBX ETF TR | 233051242 | CMN | 2,755 | $83,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 9,568 | $83,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 27,547 | $83,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 5,561 | $83,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 7,751 | $82,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 1,968 | $82,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 3,698 | $82,000 | thousands by filing date | |
| PROFICIENT ALPHA ACQUSTN COR COM | 74317h105 | COM | 8,198 | $82,000 | thousands by filing date | |
| INVESCO CURNCYSHS SNGPORE DL | 46138Y103 | SINGAPORE DLR | 1,124 | $82,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 2,356 | $81,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 3,571 | $81,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 2,934 | $81,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 5,000 | $81,000 | thousands by filing date | put |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 21,164 | $81,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 31,700 | $81,000 | thousands by filing date | put |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 1,808 | $81,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 7,967 | $81,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746Q256 | ENHANCED EURP C | 747 | $81,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 4,984 | $80,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 600 | $80,000 | thousands by filing date | call |
| VALHI INC NEW | 918905100 | COM | 42,857 | $80,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 8,421 | $80,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 20,568 | $79,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 1,362 | $79,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 3,181 | $79,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 986 | $78,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 4,152 | $78,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 31,565 | $78,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 91,084 | $78,000 | thousands by filing date | |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 4,446 | $78,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 2,231 | $78,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 11,630 | $78,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 3,546 | $77,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 429 | $77,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,350 | $77,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 19,252 | $77,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 28,319 | $77,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 2,403 | $76,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 4,669 | $76,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 4,736 | $76,000 | thousands by filing date | |
| QIAGEN NV | N72482AT4 | DEBT 1.000%11/1 | 75,000 | $76,000 | thousands by filing date | principal |
| FIRST TRUST | 33733G109 | COM BEN INTR | 12,731 | $76,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 19,073 | $76,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 1,063 | $76,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 13,494 | $76,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 76,000 | $76,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y301 | Cmn | 2,940 | $76,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W304 | CORRT INM DEFS | 2,927 | $76,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 2,811 | $75,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 1,500 | $75,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 16,801 | $75,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 6,841 | $75,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 1,047 | $75,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 1,254 | $75,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 74,582 | $75,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 1,900 | $75,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A529 | NYSE PICKENS | 3,475 | $75,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 2,841 | $74,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 16,396 | $74,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 6,459 | $74,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P806 | RIVRFRNT DYN EUR | 1,184 | $74,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 5,410 | $74,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 42,142 | $74,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 10,333 | $74,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430347 | MOTIF DATA DRIVN | 1,286 | $74,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 3,032 | $73,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 13,531 | $73,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 2,849 | $73,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A834 | ALPHAMARK SM | 2,856 | $73,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 800 | $72,000 | thousands by filing date | put |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 7,936 | $72,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 3,261 | $72,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 3,927 | $72,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 2,484 | $72,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 12,263 | $72,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 15,213 | $72,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 18,979 | $72,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 165,767 | $72,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 2,683 | $72,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 7,055 | $72,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 1,136 | $71,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 37,806 | $71,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 2,680 | $71,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 3,534 | $71,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 1,207 | $71,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 24,649 | $71,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 39,952 | $71,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W700 | MLT FTR CR FXD | 2,753 | $71,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,433 | $71,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22542D282 | Cmn | 388 | $71,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 2,891 | $70,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 1,904 | $70,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 411 | $70,000 | thousands by filing date | |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 1,318 | $70,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 14,026 | $70,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 70,278 | $70,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 7,688 | $69,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 6,155 | $69,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 17,070 | $69,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 2,212 | $69,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 800 | $68,000 | thousands by filing date | put |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 1,365 | $68,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 18,175 | $68,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 11,600 | $68,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 26,786 | $68,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 3,347 | $68,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 18,776 | $68,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 4,499 | $67,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 2,109 | $67,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 936 | $67,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 4,291 | $67,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 30,747 | $67,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 5,000 | $67,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V806 | MFS SYS COR EQ | 750 | $67,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q811 | LONG SHORT ETF | 3,055 | $67,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,727 | $66,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 3,811 | $66,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 6,000 | $66,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 12,068 | $66,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 3,368 | $66,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 700 | $65,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 1,555 | $65,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 4,140 | $65,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 2,525 | $65,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 13,560 | $65,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 1,369 | $65,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 1,660 | $65,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 35,784 | $65,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 2,464 | $65,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,315 | $64,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 3,907 | $64,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 586 | $64,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 4,689 | $64,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L108 | CMN | 2,860 | $64,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 7,375 | $64,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R833 | WBI BULBEAR TR | 3,256 | $64,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 1,446 | $63,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 2,222 | $63,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W614 | GOLD STRATEGY | 1,196 | $63,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 23,924 | $63,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 40,916 | $63,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 2,526 | $62,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C656 | US EQTY PWR BUF | 2,401 | $62,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 1,848 | $62,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 4,450 | $62,000 | thousands by filing date | |
| ISHARES MSCI JAPAN VALUE ETF | 46435U374 | ETF | 2,410 | $62,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 2,615 | $62,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 731 | $62,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 4,133 | $62,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 2,460 | $62,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 1,546 | $62,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 500 | $61,000 | thousands by filing date | put |
| DAVIS FUNDAMENTAL ETF TR | 23908L405 | CMN | 3,200 | $61,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 1,717 | $61,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 3,768 | $61,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 78,000 | $61,000 | thousands by filing date | principal |
| IDEANOMICS INC | 45166V106 | COM | 71,200 | $61,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 2,176 | $61,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 2,322 | $60,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C821 | US EQTY ULTRA B | 2,395 | $60,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 5,338 | $60,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 4,248 | $60,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 1,791 | $60,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 2,964 | $60,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L209 | US EQT EX 2027 | 890 | $60,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 5,999 | $59,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 1,266 | $59,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 9,464 | $59,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 1,604 | $59,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 2,437 | $59,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 12,629 | $59,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 32,130 | $59,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 10,000 | $58,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 8,125 | $58,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N568 | USAA MSCI USA SM | 1,066 | $58,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER APRIL | 45782C805 | ETF | 2,210 | $58,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 10,055 | $58,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 3,836 | $58,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P480 | FUND | 1,022 | $58,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,709 | $58,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 4,036 | $58,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 3,232 | $58,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y741 | YIELD ENHND FD | 2,200 | $58,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 300 | $57,000 | thousands by filing date | put |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 4,494 | $57,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 1,702 | $57,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 42,239 | $57,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 25,287 | $57,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 19,042 | $57,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 3,858 | $57,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 6,130 | $57,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 5,989 | $57,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 4,179 | $57,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y651 | NORTH SQUA MCKE | 569 | $57,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 3,865 | $56,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 4,162 | $56,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 10,646 | $56,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 3,394 | $56,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 34,000 | $56,000 | thousands by filing date | principal |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 2,300 | $56,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 1,390 | $56,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 21,828 | $56,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 43,417 | $56,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 44 | $56,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 16,993 | $55,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 1,515 | $55,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 3,203 | $55,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 56,232 | $55,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 5,895 | $55,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 8,557 | $55,000 | thousands by filing date | |
| LIVONGO HEALTH INC | 539183103 | COM | 2,180 | $55,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 14,497 | $55,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 9,434 | $55,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 5,387 | $55,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 5,541 | $55,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 2,870 | $55,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 984 | $54,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138J676 | BULLETSHS 2026 | 2,057 | $54,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N543 | VICTORYSHS EMERG | 1,205 | $54,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 1,023 | $54,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 725 | $54,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 7,220 | $54,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 4,419 | $54,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 2,795 | $54,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 25,097 | $54,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K299 | LTN AM BL 3X NEW | 2,390 | $54,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 7,749 | $53,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,892 | $53,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 33,863 | $53,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y434 | GENOMIC BIOTECH | 3,417 | $53,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 6,773 | $53,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 2,434 | $53,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 1,990 | $53,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 1,790 | $53,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 1,008 | $53,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q803 | DIVERSIFIED ET | 2,233 | $53,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G771 | CINTL ULTR DVD R | 2,191 | $53,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C748 | US EQTY PWR BUF | 1,900 | $52,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 1,665 | $52,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 3,551 | $52,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 2,081 | $52,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 1,184 | $52,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 26,769 | $52,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 30,405 | $52,000 | thousands by filing date | |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 1,840 | $52,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 1,824 | $52,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C813 | US EQTY PWR BUF | 1,920 | $51,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 13,317 | $51,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 12,870 | $51,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 1,786 | $51,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430362 | ACCESS INFLATI | 969 | $51,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 2,669 | $51,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 1,505 | $51,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 951 | $51,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L854 | TACTICAL INCOM | 2,132 | $51,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 2,661 | $50,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 3,052 | $50,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 2,500 | $50,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 2,217 | $50,000 | thousands by filing date | |
| ARROW INVTS TR | 042765719 | RESV CAP ETF | 500 | $50,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 1,631 | $50,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 932 | $50,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 1,743 | $50,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 9,590 | $49,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 1,114 | $49,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061839 | TRINITY | 2,003 | $49,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 4,000 | $49,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 2,448 | $49,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416607 | HARTFORD MLT DIV | 1,751 | $49,000 | thousands by filing date | |
| ARROW INVTS TR | 042765685 | DWA TACT INTL | 1,750 | $49,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1,177 | $49,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 5,353 | $49,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 10,893 | $49,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 600 | $48,000 | thousands by filing date | call |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 3,295 | $48,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 985 | $48,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 5,730 | $48,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 2,586 | $48,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 710 | $48,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 1,109 | $48,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G102 | LADRD FD US EQT | 1,243 | $48,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 5,070 | $48,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E552 | MSCI EMRNG MKT | 1,487 | $48,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 42,384 | $48,000 | thousands by filing date | |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 7,786 | $48,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 1,101 | $47,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 2,023 | $47,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 9,649 | $47,000 | thousands by filing date | |
| FRANKLIN FTSE CHINA ETF | 35473P819 | ETF | 1,917 | $47,000 | thousands by filing date | |
| INNOVATOR U.S. EQUITY BUFFER ETF - OCTOBER | 45782C771 | ETF | 1,806 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74347B169 | CMN | 1,303 | $47,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 1,478 | $47,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 5,360 | $47,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 8,885 | $47,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 68,234 | $47,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 18,400 | $47,000 | thousands by filing date | call |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 24,826 | $47,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 2,557 | $47,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 2,657 | $47,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 6,788 | $46,000 | thousands by filing date | |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 1,122 | $46,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C672 | US EQT ULTRA BF | 1,762 | $46,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 755 | $46,000 | thousands by filing date | |
| ABRDN ETFS | 003261203 | BBRG ALL COMMDY | 1,871 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 1,067 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74348A145 | PET CARE ETF | 1,046 | $46,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 13,820 | $46,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 6,228 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 2,573 | $46,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 10,262 | $46,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 10,620 | $46,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 3,500 | $46,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 1,906 | $46,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 1,530 | $45,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 2,021 | $45,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 1,283 | $45,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 1,481 | $45,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 10,536 | $45,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 1,513 | $45,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 3,389 | $45,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 4,314 | $45,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 38,114 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E125 | DAILY SM CP BEAR | 1,268 | $45,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 3,182 | $45,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 1,028 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 1,172 | $45,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH X | 22539T399 | COM | 1,582 | $45,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 5,000 | $44,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q670 | CORE PLUS BD ETF | 830 | $44,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 1,284 | $44,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 5,000 | $44,000 | thousands by filing date | call |
| TRAVELZOO | 89421Q205 | CMN | 4,107 | $44,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 1,279 | $44,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 12,164 | $44,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 50,794 | $44,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E562 | DAILY TECHNOLOGY | 6,089 | $44,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 2,103 | $44,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 1,863 | $44,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 400 | $43,000 | thousands by filing date | put |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 489 | $43,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 3,233 | $43,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 4,134 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 1,291 | $43,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 1,221 | $43,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 5,293 | $43,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 1,916 | $43,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,279 | $43,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,587 | $43,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 1,741 | $43,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 1,930 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 1,277 | $43,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 2,283 | $43,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 574 | $42,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 300 | $42,000 | thousands by filing date | put |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 500 | $42,000 | thousands by filing date | put |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 1,524 | $42,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 797 | $42,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 19,464 | $42,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 2,132 | $42,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 17,050 | $42,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 4,468 | $42,000 | thousands by filing date | |
| ENTREPRENEURSHARES SERIES TR | 293828802 | ERSHARES ENT | 2,258 | $42,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 1,570 | $42,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 1,219 | $42,000 | thousands by filing date | |
| AGF INVTS TR | 00110G887 | AGFIQ HEDGED DIV | 1,738 | $42,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A651 | NATIONWIDE MAX | 1,364 | $42,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 541 | $42,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 6,200 | $42,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,069 | $41,000 | thousands by filing date | |
| NEW YORK LIFE INVTS ACTIVE E | 45409F827 | NYLI MACKAY MUN | 1,600 | $41,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,386 | $41,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 3,261 | $41,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 1,505 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 452 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 986 | $41,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 2,000 | $41,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 1,393 | $41,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 9,886 | $41,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 39,809 | $41,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 1,371 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y355 | DLY DEV MKT BEAR | 4,143 | $41,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 2,308 | $40,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 1,741 | $40,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 1,215 | $40,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,101 | $40,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 1,206 | $40,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,110 | $40,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R648 | SP KENSHO NEWEC | 1,096 | $40,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 6,352 | $40,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C763 | mc | 1,895 | $40,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 4,466 | $40,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 4,729 | $40,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 900 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 2,942 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 757 | $40,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 1,391 | $40,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 2,384 | $40,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130123 | UNIT 03/01/2024 | 3,868 | $40,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950103 | ORD SHS | 3,894 | $40,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,441 | $40,000 | thousands by filing date | |
| BILL HOLDINGS INC | 090043100 | COM | 1,030 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 1,403 | $39,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 755 | $39,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 3,322 | $39,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 1,638 | $39,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 1,575 | $39,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 1,295 | $39,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 411 | $39,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P571 | FUND | 964 | $39,000 | 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 |