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 |
|---|---|---|---|---|---|---|
| ORUKA THERAPEUTICS INC COM | 00211Y506 | Stock | 3,059 | $17,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 13,215 | $17,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 93,314 | $17,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 259 | $17,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 18,822 | $17,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 299 | $17,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 3,677 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 608 | $17,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 6,994 | $17,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 5,098 | $17,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 1,134 | $17,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 23,159 | $17,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 1,516 | $17,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 601 | $17,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 3,480 | $17,000 | thousands by filing date | |
| TENZING ACQUISITION CORP | G8708A124 | UNIT 08/24/2024 | 1,609 | $17,000 | thousands by filing date | |
| WEALTHBRIDGE ACQUISITION LTD | G4887W102 | UNIT 99/99/9999 | 1,610 | $17,000 | thousands by filing date | |
| Avantis US Small Cap Value ETF | 025072877 | SHS | 286 | $16,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 1,905 | $16,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 300 | $16,000 | thousands by filing date | put |
| EURODRY LTD | Y23508107 | COM | 2,042 | $16,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 1,000 | $16,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 401 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 233 | $16,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L654 | US QT LW VLTY | 384 | $16,000 | thousands by filing date | |
| IDEAL PWR INC | 451622203 | COM NEW | 6,985 | $16,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 1,548 | $16,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 551 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E166 | ETRACS MNTHLY B | 918 | $16,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,061 | $16,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 1,850 | $16,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 442 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 324 | $16,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 2,232 | $16,000 | thousands by filing date | |
| MY SIZE INC | 62844N208 | COM NEW | 4,713 | $16,000 | thousands by filing date | |
| PGIM ETF TR | 69344A305 | QMA STRGC ALPH | 303 | $16,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 5,353 | $16,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 673 | $16,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,149 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 600 | $16,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 16,913 | $16,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,522 | $16,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 53,057 | $16,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L121 | UNIT 99/99/9999 | 1,500 | $16,000 | thousands by filing date | |
| PACER FDS TR | 69374H832 | MILTRY TIMS ETF | 488 | $16,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L204 | UNIT 99/99/9999 | 1,524 | $16,000 | thousands by filing date | |
| TIGERSHARES TR | 88680T108 | UP FINTC CHIN US | 552 | $16,000 | thousands by filing date | |
| 8I ENTERPRISES ACQUISITIN CO | G2956M138 | UNIT 99/99/9999 | 1,505 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y706 | ULTRA BLOOMBERG | 1,946 | $16,000 | thousands by filing date | |
| JPMORGAN CHASE FINL CO LLC | 48129G703 | CUSHING MLP 37 | 1,011 | $16,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 531 | $15,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 473 | $15,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 200 | $15,000 | thousands by filing date | put |
| CENTURY ALUM CO | 156431108 | COM | 1,918 | $15,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 2,712 | $15,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 9,794 | $15,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,110 | $15,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 4,375 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 446 | $15,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 295 | $15,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 720 | $15,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,187 | $15,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,391 | $15,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 9,404 | $15,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 7,382 | $15,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 8,304 | $15,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,255 | $15,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 800 | $15,000 | thousands by filing date | |
| BROOGE ENERGY LTD | G1611B115 | *W EXP 12/20/202 | 20,231 | $15,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 1,221 | $15,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 38,017 | $15,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 8,137 | $15,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 1,599 | $15,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 15,000 | $15,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06745T368 | ETF | 578 | $15,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 2,983 | $15,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M106 | COM | 1,550 | $15,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 44,725 | $15,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E464 | VELCTYSHS GBPUSD | 602 | $15,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 578 | $15,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W106 | EMMKT DB DEFSV | 578 | $15,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 200 | $14,000 | thousands by filing date | put |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 777 | $14,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 822 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 459 | $14,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 2,087 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 561 | $14,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AMERICA | 47089W104 | Stock | 4,891 | $14,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120202 | COM NEW | 3,448 | $14,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 685 | $14,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C888 | US EQT BUFR APR | 490 | $14,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 5,450 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 288 | $14,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 2,707 | $14,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P843 | CMN | 522 | $14,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 500 | $14,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,144 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 1,262 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 563 | $14,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,133 | $14,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 7,397 | $14,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 2,832 | $14,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 834 | $14,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 19,370 | $14,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 82,122 | $14,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 3,000 | $14,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 61,682 | $14,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 14,840 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 548 | $14,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 2,542 | $14,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 20,100 | $14,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 12,556 | $14,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 3,384 | $14,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 5,428 | $14,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 38,619 | $14,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 5,479 | $14,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 7,543 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 528 | $14,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 964 | $14,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 357 | $14,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 2,436 | $14,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 485 | $14,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015503 | COM | 9,764 | $14,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931602 | COM NEW | 77,501 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 373 | $14,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N202 | UNIT 05/11/2023 | 1,304 | $14,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S124 | UNIT 99/99/9999 | 1,300 | $14,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G205 | UNIT 99/99/9999 | 1,343 | $14,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 515 | $14,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 1,042 | $14,000 | thousands by filing date | |
| DIAMOND EAGLE ACQUISITION CO | 25258L208 | UNIT 06/30/2026 | 1,171 | $14,000 | thousands by filing date | |
| MRI INTERVENTIONS INC | 55347P209 | COM NEW | 2,944 | $14,000 | thousands by filing date | |
| Vanguard U.S. Momentum Factor ETF | 921935508 | SHS | 154 | $13,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 15,576 | $13,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 1,466 | $13,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 811 | $13,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 756 | $13,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 34,378 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435U861 | CORE DIVID ETF | 439 | $13,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q774 | LDRSHS ALPFACT | 477 | $13,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1,500 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E495 | PURBTA 0 5 YR | 500 | $13,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,147 | $13,000 | thousands by filing date | |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 1,100 | $13,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 1,203 | $13,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,325 | $13,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 2,263 | $13,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,613 | $13,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 9,038 | $13,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,860 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P472 | FUND | 284 | $13,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 2,957 | $13,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 3,074 | $13,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 4,000 | $13,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 9,633 | $13,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 4,357 | $13,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 4,020 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 1,181 | $13,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 808 | $13,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 3,516 | $13,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 2,047 | $13,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 14,790 | $13,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 13,220 | $13,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 2,898 | $13,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L203 | COM NEW | 1,538 | $13,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 2,464 | $13,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P751 | FTSE ITALY ETF | 518 | $13,000 | thousands by filing date | |
| BIT ORIGIN LTD | G21621100 | SHS | 3,348 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 12,000 | $13,000 | thousands by filing date | principal |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 559 | $13,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION | 03768F201 | UNIT 06/11/2026 | 1,200 | $13,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 1,237 | $13,000 | thousands by filing date | |
| DD3 ACQUISITION CORP | G2692M103 | SHS | 1,318 | $13,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 25,117 | $12,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 300 | $12,000 | thousands by filing date | call |
| VIEMED HEALTHCARE INC | 92663R105 | COM | 2,010 | $12,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,295 | $12,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 2,557 | $12,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 842 | $12,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 1,398 | $12,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 2,253 | $12,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,000 | $12,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 4,789 | $12,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 1,297 | $12,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092543 | CMN | 477 | $12,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 1,354 | $12,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 2,763 | $12,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 2,238 | $12,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 7,479 | $12,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 2,172 | $12,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 1,316 | $12,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 2,225 | $12,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 9,984 | $12,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,166 | $12,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 39,209 | $12,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,270 | $12,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 448 | $12,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 14,552 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 588 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 703 | $12,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 2,653 | $12,000 | thousands by filing date | |
| HAPPINESS DEVELOPMENT GRP LT | G4289N114 | ORD SHS CL A | 2,692 | $12,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 496 | $12,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L204 | COM NEW | 2,703 | $12,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 24,177 | $12,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 4,289 | $12,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,931 | $12,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 8,511 | $12,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 1,249 | $12,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640309 | COM | 6,340 | $12,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 3,695 | $12,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576200 | CL B | 743 | $12,000 | thousands by filing date | |
| PACIFIC GLOBAL SENIOR LOAN ETF | 69434K403 | ETF | 235 | $12,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784114 | UNIT 99/99/9999 | 1,200 | $12,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 1,306 | $12,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 12,000 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 464 | $12,000 | thousands by filing date | |
| INVESCO EXCHANGETRADED FD T RUSL 1000 MOMT | 46138G755 | Stock | 381 | $12,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430321 | FINANCE REIMAGI | 203 | $12,000 | thousands by filing date | |
| ACT II GLOBAL ACQUISITION CO | G0080J112 | UNIT 04/30/2026 | 1,100 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G730 | RUSL 1000 SIZE | 400 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B193 | ULTRAPRO SHORT N | 1,346 | $12,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 1,000 | $11,000 | thousands by filing date | put |
| ISHARES TR | 46435U218 | ESG MSCI LEADR | 200 | $11,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 500 | $11,000 | thousands by filing date | put |
| COHU INC | 192576106 | COM | 496 | $11,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 15,603 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 121 | $11,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 369 | $11,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 367 | $11,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 46,463 | $11,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 3,000 | $11,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,268 | $11,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092535 | INTL MULTIFACTOR | 406 | $11,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,645 | $11,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 4,555 | $11,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,092 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y616 | CMN | 404 | $11,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L602 | CMN | 270 | $11,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 2,101 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 240 | $11,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 1,155 | $11,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 9,311 | $11,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 2,156 | $11,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 12,466 | $11,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 12,728 | $11,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 3,775 | $11,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 5,329 | $11,000 | thousands by filing date | |
| MOHAWK GROUP HLDGS INC | 608189106 | COM | 1,823 | $11,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 2,500 | $11,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 3,613 | $11,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 7,814 | $11,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 4,165 | $11,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 6,713 | $11,000 | thousands by filing date | |
| MDJM LTD | G59290109 | SHS | 3,573 | $11,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 17,826 | $11,000 | thousands by filing date | |
| LUOKUNG TECHNOLOGY CORP | G56981106 | SHS | 6,617 | $11,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 714 | $11,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 203 | $11,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 5,156 | $11,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 3,220 | $11,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 6,721 | $11,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 2,200 | $11,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 5,000 | $11,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 4,478 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 612 | $11,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641205 | UNIT 99/99/9999 | 1,083 | $11,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076100 | COM CLASS A | 1,000 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E158 | DAILY NATRL GAS | 1,124 | $11,000 | thousands by filing date | |
| iShares ESG Aware US Aggregate Bond ETF | 46435U549 | SHS | 183 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 139 | $10,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 261 | $10,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 5,254 | $10,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 3,104 | $10,000 | thousands by filing date | |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 571 | $10,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 3,071 | $10,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 3,991 | $10,000 | thousands by filing date | |
| PACER US CASH COWS GROWTH ETF | 69374H667 | ETF | 395 | $10,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 3,846 | $10,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 2,835 | $10,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,423 | $10,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 2,594 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 587 | $10,000 | thousands by filing date | |
| GUINNESS ATKINSON FDS | 402031876 | SMART TRANSN ETF | 392 | $10,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 414 | $10,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 2,944 | $10,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 2,467 | $10,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 1,781 | $10,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 1,200 | $10,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 24,998 | $10,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 2,642 | $10,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 5,213 | $10,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 550 | $10,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 2,344 | $10,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 3,443 | $10,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $10,000 | thousands by filing date | principal |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 9,207 | $10,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 689 | $10,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 40,991 | $10,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 630 | $10,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 5,159 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505756 | INNOVATION SHS | 436 | $10,000 | thousands by filing date | |
| LIMINAL BIOSCIENCES INC | 53272L103 | COM | 1,173 | $10,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108870 | AMPLIFY EMERGING | 361 | $10,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 4,441 | $10,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 3,086 | $10,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 2,851 | $10,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 24,006 | $10,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 5,238 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E455 | CMN | 176 | $10,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| LAIX INC | 50736W105 | ADS | 1,998 | $10,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643202 | UNIT 05/31/2024 | 900 | $10,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 450 | $10,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 944 | $10,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 10,240 | $10,000 | thousands by filing date | |
| MONAKER GROUP INC | 609011200 | COM NEW | 4,531 | $10,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G103 | COM | 1,000 | $10,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 995 | $10,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 44,664 | $10,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 925 | $10,000 | thousands by filing date | |
| FELLAZO INC | G3362K104 | UNIT 99/99/9999 | 1,000 | $10,000 | thousands by filing date | |
| SUMMIT WIRELESS TECHNLGIES I | 86633R104 | COM | 15,874 | $10,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 17,893 | $10,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T290 | XLNKS AMLP ETN36 | 957 | $10,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 103 | $9,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 180 | $9,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 732 | $9,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 892 | $9,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,107 | $9,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,457 | $9,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 1,523 | $9,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,072 | $9,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 3,000 | $9,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,998 | $9,000 | thousands by filing date | |
| ISHARES TR ETF GENOMICS IMMUNOLOGY & HEALTHCARE | 46435U192 | ETF | 300 | $9,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 354 | $9,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 1,521 | $9,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 1,219 | $9,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 112 | $9,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 3,018 | $9,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 4,479 | $9,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 5,995 | $9,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 12,613 | $9,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 3,844 | $9,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,680 | $9,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 667 | $9,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 18,309 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 569 | $9,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 500 | $9,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 1,945 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A347 | AAM S&P DEV MK | 300 | $9,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 3,513 | $9,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 500 | $9,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 4,266 | $9,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 3,731 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B318 | S&P 500 BD ETF | 107 | $9,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 3,757 | $9,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 30,695 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| MOSYS INC | 619718307 | COM | 5,238 | $9,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 2,132 | $9,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 20,848 | $9,000 | thousands by filing date | |
| THE9 LTD SPON ADS NEW | 88337K203 | ADR | 9,995 | $9,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 3,615 | $9,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 9,000 | $9,000 | thousands by filing date | principal |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 26,439 | $9,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 4,548 | $9,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W208 | UNIT 06/01/2025 | 842 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 139 | $9,000 | thousands by filing date | |
| PERFORMANCE SHIPPING INC | Y67305105 | COM | 10,120 | $9,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J202 | SPONSORD ADS NEW | 5,816 | $9,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E654 | MKT HLDGS I VELCTYSHS JPYUSD | 369 | $9,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 511 | $9,000 | thousands by filing date | |
| SPHERIX INC | 84842R502 | COM | 6,486 | $9,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 894 | $9,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 2,110 | $8,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 3,779 | $8,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 2,741 | $8,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,334 | $8,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 340 | $8,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 700 | $8,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 6,421 | $8,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 12,829 | $8,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 2,199 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 305 | $8,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 1,532 | $8,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,546 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 293 | $8,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 907 | $8,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 321 | $8,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 351 | $8,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 963 | $8,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 4,294 | $8,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 1,666 | $8,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 1,664 | $8,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 12,728 | $8,000 | thousands by filing date | |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 992 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P589 | FUND | 166 | $8,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 2,355 | $8,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 4,654 | $8,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,500 | $8,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 12,288 | $8,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 6,204 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,390 | $8,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 1,808 | $8,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 3,617 | $8,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 4,572 | $8,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468203 | COM NEW | 15,315 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E877 | DLY JR GOLD 3X | 824 | $8,000 | thousands by filing date | |
| DATASEA INC | 238116206 | COM NEW | 2,778 | $8,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255807 | COM | 1,756 | $8,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 2,427 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E487 | PURBTA FTSE DV | 329 | $8,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 42,855 | $8,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 1,313 | $8,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 640 | $8,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 6,558 | $8,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q205 | UNIT 04/13/2023 | 800 | $8,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 5,047 | $8,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS I | 88165N204 | COM NEW | 2,900 | $8,000 | thousands by filing date | |
| VISLINK TECHNOLOGIES INC COM NEW | 92836Y201 | Stock | 30,085 | $8,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 446 | $8,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 46,390 | $8,000 | thousands by filing date | |
| GIGCAPITAL2 INC | 375036209 | UNIT 02/28/2026 | 742 | $8,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E159 | VELCTYSHS USDGBP | 410 | $8,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R114 | UNIT 06/21/2023 | 750 | $8,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F204 | COM NEW | 2,566 | $8,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y805 | ETF | 711 | $8,000 | thousands by filing date | |
| AGF INVTS TR | 00110G408 | US MARKET NETRL | 323 | $7,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 160 | $7,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 1,757 | $7,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 1,893 | $7,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N527 | CORE BD ETF | 140 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J726 | RAFI STRG US ETF | 280 | $7,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 1,157 | $7,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 5,413 | $7,000 | thousands by filing date | |
| HIREQUEST INC | 433535101 | COMMON STOCK | 945 | $7,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 262 | $7,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 2,011 | $7,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 1,473 | $7,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 3,540 | $7,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 1,711 | $7,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 6,062 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B573 | CMN | 102 | $7,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 608 | $7,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 4,069 | $7,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 319 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 319 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 177 | $7,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 3,657 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 319 | $7,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 4,130 | $7,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 2,831 | $7,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 26,410 | $7,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 2,013 | $7,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 24,997 | $7,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 3,195 | $7,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 6,227 | $7,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 4,160 | $7,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 485 | $7,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 2,279 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P613 | FUND | 397 | $7,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 4,411 | $7,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 515 | $7,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 887 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 193 | $7,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 538 | $7,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $7,000 | thousands by filing date | principal |
| Proshares VIX Short-Term | 74347W171 | Equity | 577 | $7,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 238 | $7,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 5,107 | $7,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 1,722 | $7,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 3,273 | $7,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 8,187 | $7,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 15,223 | $7,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| PLANET GREEN HLDGS CORP | 72703U102 | COM | 2,505 | $7,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,195 | $7,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q204 | ADR | 1,781 | $7,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 40,945 | $7,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 3,000 | $7,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 2,509 | $7,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 782 | $7,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 1,654 | $7,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 1,823 | $7,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G208 | UNIT 09/07/2024 | 606 | $7,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745105 | COM CLASS A | 700 | $7,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 629 | $7,000 | thousands by filing date | |
| MicroSectors FANG Index 2X Inverse Leveraged ETN | 063679849 | ETP | 245 | $7,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679104 | ETN LKD 36 | 152 | $7,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W303 | COM | 6,042 | $7,000 | thousands by filing date | |
| ENVISION SOLAR INTL INC | 29413Q201 | COM | 1,556 | $7,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC | G3206V100 | SHS | 17,396 | $7,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 4,267 | $6,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 3,131 | $6,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 2,007 | $6,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 2,683 | $6,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C789 | US EQTY BUFR JUL | 200 | $6,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C573 | US EQTY PWR BUF | 244 | $6,000 | 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 |