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 |
|---|---|---|---|---|---|---|
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 1,890 | $39,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 25,623 | $39,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 816 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 3,449 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 1,395 | $39,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E828 | DAILY RUSSIA 3X | 5,813 | $39,000 | thousands by filing date | |
| XP INC CL A | G98239109 | Stock | 988 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 500 | $38,000 | thousands by filing date | put |
| DAUCH CORP | 024061103 | COM | 3,528 | $38,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 4,500 | $38,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 2,171 | $38,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 1,692 | $38,000 | thousands by filing date | |
| Afya Ltd-Class A | G01125106 | COM | 1,385 | $38,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,355 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 616 | $38,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 2,850 | $38,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,190 | $38,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 3,736 | $38,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 1,400 | $38,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E438 | RUSL 1000 ENHD | 1,255 | $38,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 1,354 | $38,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 98,986 | $38,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 1,264 | $38,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 174,990 | $38,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 3,033 | $38,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,754 | $37,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 1,404 | $37,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,854 | $37,000 | thousands by filing date | |
| ISHARES TR | 46435G169 | RUSSELL 1000 US | 1,215 | $37,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 2,925 | $37,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 11,376 | $37,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 9,801 | $37,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 9,180 | $37,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 4,008 | $37,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 12,022 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E513 | DLY ROB AI 3X | 2,841 | $37,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 400 | $36,000 | thousands by filing date | put |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 1,050 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 451 | $36,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 3,824 | $36,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 1,817 | $36,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 878 | $36,000 | thousands by filing date | |
| PROSHARES ULTRASHORT TECHNOLOGY | 74347G101 | ETF | 2,905 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 1,079 | $36,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 32,000 | $36,000 | thousands by filing date | principal |
| CBDMD INC | 12482W101 | COM | 15,864 | $36,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,062 | $36,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y813 | ULTRA SHT ACTV | 1,450 | $36,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 3,479 | $36,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H666 | FRMLAFOLIOS TATL | 1,436 | $36,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 1,344 | $36,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 937 | $36,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 1,432 | $36,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L720 | CUR HDG DM IDX | 1,242 | $36,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430271 | MANUFCTING REVL | 634 | $36,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 1,710 | $36,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 300 | $35,000 | thousands by filing date | put |
| RED ROCK RESORTS INC | 75700L108 | CL A | 1,421 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 2,395 | $35,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 15,738 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 1,506 | $35,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 1,349 | $35,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 11,428 | $35,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P449 | FUND | 825 | $35,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 18,000 | $35,000 | thousands by filing date | principal |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 1,060 | $35,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 946 | $35,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G839 | EMERGING MKT | 1,377 | $35,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,475 | $34,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 513 | $34,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C797 | US EQTY PWR BUF | 1,357 | $34,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 1,769 | $34,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 719 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 644 | $34,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 12,276 | $34,000 | thousands by filing date | |
| CBDMD INC | 12482W200 | 8% SER A CUM PFD | 4,158 | $34,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 7,743 | $34,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 1,265 | $34,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 1,514 | $34,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 65,845 | $34,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E802 | DLY RGNAL BKS 3X | 1,827 | $34,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E233 | VELCTYSHS USDCHF | 1,640 | $34,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A123 | UNIT 08/01/2024 | 3,300 | $34,000 | thousands by filing date | |
| REALITY | 75605A603 | SHS ETF TR DIVCON DIV ETF | 1,268 | $34,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 2,040 | $33,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C409 | US EQTY BUFR JAN | 1,144 | $33,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 1,931 | $33,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 5,439 | $33,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 3,034 | $33,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 2,986 | $33,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 4,229 | $33,000 | thousands by filing date | |
| AESTHETIC MED INTL HLDG GR L | 00809M104 | ADR | 5,070 | $33,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T183 | VLCTYSHS 3X S&P | 453 | $33,000 | thousands by filing date | |
| Amplitude Inc | 03212A204 | Class A Common | 3,235 | $33,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 11,135 | $33,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 2,035 | $33,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 4,000 | $32,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 1,275 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 971 | $32,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 232 | $32,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,774 | $32,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,408 | $32,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 4,565 | $32,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 1,269 | $32,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 895 | $32,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 39,715 | $32,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 3,064 | $32,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 3,236 | $32,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 6,434 | $32,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 1,489 | $32,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 1,303 | $32,000 | thousands by filing date | |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 611 | $31,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C698 | US EQUT BUFR AUG | 1,164 | $31,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 1,131 | $31,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 BUFFER ETF JUNE | 45782C755 | ETF | 1,100 | $31,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H591 | CMN | 1,008 | $31,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 8,239 | $31,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 2,674 | $31,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 903 | $31,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 550 | $31,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 34,000 | $31,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06746P563 | FUND | 737 | $31,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 86,941 | $31,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 19,175 | $31,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 1,096 | $31,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 75,842 | $31,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 12,673 | $31,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X350 | SOLACTIVE GERMNY | 524 | $31,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 972 | $31,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 3,778 | $30,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 2,055 | $30,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 2,599 | $30,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 4,757 | $30,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 2,105 | $30,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 2,062 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,105 | $30,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 3,800 | $30,000 | thousands by filing date | call |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 418 | $30,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 2,713 | $30,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 451 | $30,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,263 | $30,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 1,161 | $30,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 3,565 | $30,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 3,344 | $30,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 1,130 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 2,287 | $30,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 9,566 | $30,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 14,390 | $30,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 25,293 | $30,000 | thousands by filing date | |
| IMMUNOVANT INC | 45258J110 | W EXP 12/18/202 | 15,000 | $30,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G830 | VIRTUS GLOVIST | 1,308 | $30,000 | thousands by filing date | |
| SPROUT SOCIAL INC COM CL A | 85209W109 | Stock | 1,768 | $29,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935805 | US VALUE FACTR | 370 | $29,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 2,000 | $29,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 971 | $29,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 783 | $29,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 927 | $29,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 3,077 | $29,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 73,189 | $29,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 686 | $29,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,404 | $29,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 1,895 | $29,000 | thousands by filing date | |
| VICTORYSHARES U S | 92647N576 | MF Closed and MF Open | 542 | $29,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 1,158 | $29,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 1,430 | $29,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 1,387 | $29,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 800 | $29,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 10,829 | $29,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,037 | $29,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 504 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 836 | $29,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 800 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 1,654 | $29,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E479 | PURBTA FTSE EM | 1,119 | $29,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 520 | $29,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 198,732 | $29,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F201 | UNIT 06/12/2023 | 2,429 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 951 | $29,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 200 | $28,000 | thousands by filing date | put |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 2,193 | $28,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 2,274 | $28,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,514 | $28,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,289 | $28,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 972 | $28,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE MOMENTUM ETF | 02072L409 | ETF | 879 | $28,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 39,167 | $28,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 1,171 | $28,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 2,921 | $28,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 24,493 | $28,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P456 | FUND | 666 | $28,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 16,932 | $28,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 6,509 | $28,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 1,524 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 1,193 | $28,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 727 | $28,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K743 | VELOCITYSHS LONG | 1,177 | $28,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E752 | DLY MSCI MX 3X | 2,426 | $28,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G813 | GLOBAL ESG ETF | 903 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y840 | CB OE RUSSELL | 1,388 | $28,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 1,725 | $27,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 5,500 | $27,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,576 | $27,000 | thousands by filing date | |
| PACER FDS TR | 69374H634 | AMERICAN ENERGY | 1,140 | $27,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 1,225 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 236 | $27,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 500 | $27,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 2,500 | $27,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,355 | $27,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 3,600 | $27,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 1,320 | $27,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 10,302 | $27,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $27,000 | thousands by filing date | principal |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 32,144 | $27,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 760 | $27,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 25,000 | $27,000 | thousands by filing date | principal |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 3,143 | $27,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F607 | EQUITYCOMPASS | 1,241 | $27,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 1,304 | $27,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 414 | $27,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K207 | UNIT 06/19/2025 | 2,522 | $27,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430255 | NEW AGE CONSU | 463 | $27,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P702 | LIBRT INT OPPT | 920 | $27,000 | thousands by filing date | |
| LISTED FD TR | 53656F607 | COM | 950 | $26,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 300 | $26,000 | thousands by filing date | put |
| IMMUCELL CORP | 452525306 | COM PAR | 5,024 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 1,578 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 934 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 675 | $26,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 2,890 | $26,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 1,200 | $26,000 | thousands by filing date | put |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 1,200 | $26,000 | thousands by filing date | call |
| PROPHASE LABS INC | 74345W108 | COM | 13,472 | $26,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 5,607 | $26,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 3,826 | $26,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 7,250 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 2,001 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 947 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 1,186 | $26,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 754 | $26,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 4,873 | $26,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,451 | $26,000 | thousands by filing date | |
| OSPREY TECHNLGY AQUISTION CO | 68839R401 | UNIT 10/30/2024 | 2,600 | $26,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,977 | $26,000 | thousands by filing date | |
| IMMUNOVANT INC | 45258J201 | UNIT 12/18/2024 | 1,079 | $26,000 | thousands by filing date | |
| PROFICIENT ALPHA ACQUSTN COR | 74317H204 | UNIT 04/30/2026 | 2,542 | $26,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 200 | $25,000 | thousands by filing date | put |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 9,276 | $25,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188408 | LOW DURTIN ETF | 500 | $25,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 1,608 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D606 | LNG DUR OPRTUN | 933 | $25,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 4,401 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 922 | $25,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 8,198 | $25,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 2,563 | $25,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 994 | $25,000 | thousands by filing date | |
| REVIVA PHARMACEUTCLS HLDGS INC COM | G8708A116 | Stock | 2,347 | $25,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 1,010 | $25,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 98,471 | $25,000 | thousands by filing date | |
| LEO HOLDINGS CORP II-CLASS A | G5463L105 | CMN | 2,456 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRANCH | 22539T282 | XLNKS REIT ETN36 | 979 | $25,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 1,591 | $25,000 | thousands by filing date | |
| LIV CAP ACQUISITION CORP | G5510C124 | UNIT 99/99/9999 | 2,500 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 2,287 | $25,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 227 | $25,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 900 | $25,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 4,185 | $24,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P595 | SENIOR LOAN ETF | 956 | $24,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 749 | $24,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 35,000 | $24,000 | thousands by filing date | principal |
| ENLIVEX LTD | M4130Y106 | CMN | 2,873 | $24,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 2,931 | $24,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 1,560 | $24,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,186 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 693 | $24,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P522 | FUND | 525 | $24,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P548 | FUND | 585 | $24,000 | thousands by filing date | |
| MEDALLIA INC | 584021109 | COM | 782 | $24,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 905 | $24,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641760 | CMCI AGRI ETN | 1,501 | $24,000 | thousands by filing date | |
| GALILEO ACQUISITION CORP | G3770A128 | UNIT 99/99/9999 | 2,350 | $24,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C203 | UNIT 99/99/9999 | 2,266 | $24,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E647 | MKT HLDGS I VELCTYSHS USDAUD | 1,478 | $24,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E662 | MKT HLDGS I VELCTYSHS USDJPY | 1,010 | $24,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 607 | $23,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 200 | $23,000 | thousands by filing date | put |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,753 | $23,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 17,973 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 711 | $23,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 1,397 | $23,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 9,174 | $23,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P785 | FTSE GERMANY | 1,010 | $23,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 6,969 | $23,000 | thousands by filing date | |
| INVESCO | 46138J528 | EXCHANGE TRADED | 900 | $23,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 44,939 | $23,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 10,828 | $23,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 19,280 | $23,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 2,533 | $23,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 1,160 | $23,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 794 | $23,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 954 | $23,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 1,153 | $23,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 4,469 | $23,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 967 | $23,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 7,000 | $23,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P107 | mc | 383 | $23,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 24,203 | $23,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P205 | UNIT 09/01/2024 | 2,205 | $23,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754205 | UNIT 99/99/9999 | 2,090 | $23,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745204 | UNIT 02/01/2023 | 2,145 | $23,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 300 | $22,000 | thousands by filing date | put |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,920 | $22,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 1,311 | $22,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V498 | S&P SMLCP MOMENT | 569 | $22,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 459 | $22,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 4,247 | $22,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 3,269 | $22,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 791 | $22,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 62,723 | $22,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,000 | $22,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 1,052 | $22,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 385 | $22,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 6,000 | $22,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 28,950 | $22,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 12,500 | $22,000 | thousands by filing date | call |
| USA TRUCK INC | 902925106 | COM | 2,908 | $22,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,831 | $22,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 1,489 | $22,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 969 | $22,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 372 | $22,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 2,241 | $22,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 400 | $22,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 1,220 | $22,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872208 | UNIT 99/99/9999 | 2,100 | $22,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 7,155 | $22,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 100 | $21,000 | thousands by filing date | put |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 2,360 | $21,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 5,634 | $21,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 2,115 | $21,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 1,159 | $21,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 1,027 | $21,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,078 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 854 | $21,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 17,255 | $21,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 3,060 | $21,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P645 | FRANKLIN FTSE | 847 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 354 | $21,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 40,061 | $21,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 1,971 | $21,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 33,288 | $21,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 35,357 | $21,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 1,381 | $21,000 | thousands by filing date | |
| ETRACS CMCI SILVER TR ETN | 902641794 | CMN | 925 | $21,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 1,437 | $21,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 1,664 | $21,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 7,153 | $21,000 | thousands by filing date | |
| MONOPAR THERAPEUTICS INC | 61023L108 | COM | 1,290 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E133 | DAILY FINL BEAR | 754 | $21,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A200 | BLNCD MLTI AST | 1,475 | $21,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 2,110 | $21,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $21,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B532 | MANAGED FUT | 523 | $21,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G106 | ORD SHS | 2,069 | $21,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 8,457 | $21,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 38,895 | $21,000 | thousands by filing date | |
| TUSCAN HOLDINGS CORP | 90069K203 | UNIT 99/99/9999 | 2,000 | $21,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L122 | UNIT 99/99/9999 | 2,100 | $21,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 62,371 | $21,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N206 | UNIT 04/30/2025 | 1,970 | $21,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP III | 31811A309 | UNIT 12/01/2023 | 1,967 | $21,000 | thousands by filing date | |
| EDTECHX HLDGS ACQUISITION CO | 28138X103 | COM | 2,068 | $21,000 | thousands by filing date | |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 724 | $20,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 3,916 | $20,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q399 | BETABUILDRS US | 341 | $20,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 1,205 | $20,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,678 | $20,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 586 | $20,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 3,191 | $20,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 798 | $20,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,245 | $20,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 2,342 | $20,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 4,067 | $20,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,409 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 629 | $20,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,794 | $20,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 57,408 | $20,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J826 | MLTDCTR MEDIA | 697 | $20,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CL A ORD | 30734W109 | COM | 1,905 | $20,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC COM | 40145Q203 | Stock | 92,543 | $20,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A107 | SHS CL A | 2,000 | $20,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R200 | UNIT 01/07/2019 | 1,900 | $20,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E605 | MKT HLDGS I VELCTYSHS AUDUSD | 648 | $20,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 1,119 | $20,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 785 | $19,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 1,463 | $19,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 7,511 | $19,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A594 | AAM S&P 500 | 694 | $19,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 3,281 | $19,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 5,711 | $19,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 6,781 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 384 | $19,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 470 | $19,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 1,793 | $19,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 721 | $19,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 3,625 | $19,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 136,298 | $19,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 3,133 | $19,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 74,724 | $19,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,157 | $19,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 2,089 | $19,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 667 | $19,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W671 | CONSUMER STPLS | 671 | $19,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 672 | $19,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 2,742 | $19,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 30,339 | $19,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 19,850 | $19,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 41,821 | $19,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 707 | $19,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 2,000 | $19,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 1,867 | $19,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 1,431 | $19,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 634 | $19,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G202 | UNIT 10/28/2024 | 1,864 | $19,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 1,922 | $19,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 2,894 | $19,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 893 | $19,000 | thousands by filing date | |
| DD3 ACQUISITION CORP | G2692M129 | UNIT 10/12/2023 | 1,769 | $19,000 | thousands by filing date | |
| CHASERG TECHNLGY ACQUISITN C | 16166A202 | UNIT 09/30/2023 | 1,600 | $19,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 4,287 | $18,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 1,940 | $18,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 2,217 | $18,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 2,550 | $18,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,711 | $18,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q106 | COMMON STOCK | 1,469 | $18,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q105 | SIMP AF WORL ETF | 748 | $18,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,335 | $18,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 7,973 | $18,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,550 | $18,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 2,269 | $18,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 685 | $18,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 1,899 | $18,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 908 | $18,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,769 | $18,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,398 | $18,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 23,467 | $18,000 | thousands by filing date | |
| HEPION PHARMACEUTICALS INC | 426897104 | COM | 3,322 | $18,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 2,043 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 1,082 | $18,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 6,040 | $18,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 391 | $18,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,227 | $18,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 473 | $18,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 34,432 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 524 | $18,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 2,213 | $18,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J692 | STRG EMERG ETF | 656 | $18,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 1,076 | $18,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 12,373 | $18,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U605 | ORGANICS ETF | 759 | $18,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A370 | LONCAR CHINA BIO | 732 | $18,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 19,817 | $18,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 1,729 | $18,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C208 | UNIT 09/01/2026 | 1,800 | $18,000 | thousands by filing date | |
| CANCER GENETICS INC | 13739U203 | COM NEW | 3,041 | $18,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285201 | UNIT 12/30/2025 | 1,800 | $18,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372108 | UNIT 08/29/2024 | 1,716 | $18,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U207 | UNIT 03/31/2021 | 1,747 | $18,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788206 | UNIT 01/18/2023 | 1,654 | $18,000 | thousands by filing date | |
| VIRGIN GALACTIC HOLDINGS INC | 92766K205 | UNIT 99/99/9999 | 1,402 | $18,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G789 | INTERNATNL REV | 706 | $18,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 22,872 | $18,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A206 | UNIT 02/28/2021 | 1,593 | $18,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 785 | $18,000 | thousands by filing date | |
| IMMUNOVANT INC | 45258J102 | COM | 1,076 | $17,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 100 | $17,000 | thousands by filing date | put |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 290 | $17,000 | thousands by filing date | call |
| EHANG HLDGS LTD ADS | 26853E102 | ADR | 1,567 | $17,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 100 | $17,000 | thousands by filing date | put |
| ETF SER SOLUTIONS | 26922A420 | DEFIA QUANT ETF | 577 | $17,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,117 | $17,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,602 | $17,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F130 | REAL ASSETS ETF | 644 | $17,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 687 | $17,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 1,043 | $17,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 3,978 | $17,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 2,851 | $17,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 1,404 | $17,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 700 | $17,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 463 | $17,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 5,000 | $17,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,175 | $17,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 3,850 | $17,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,279 | $17,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 2,754 | $17,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 1,547 | $17,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 276 | $17,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 1,363 | $17,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 1,000 | $17,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 2,395 | $17,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 5,031 | $17,000 | 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 |