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 |
|---|---|---|---|---|---|---|
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 557 | $6,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 191 | $6,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 6,118 | $6,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 411 | $6,000 | thousands by filing date | |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 127 | $6,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 461 | $6,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 770 | $6,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 983 | $6,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 150 | $6,000 | thousands by filing date | |
| NEPHROS INC | 640671400 | COM | 602 | $6,000 | thousands by filing date | |
| TIDAL TR III ETF IMPACT SHARES WOMEN'S EMPOWERMENT | 45259A100 | ETF | 242 | $6,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2026 MUNICIPAL BOND ETF | 46138J510 | UIE | 234 | $6,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R306 | HIPS US HIGH INC | 380 | $6,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,517 | $6,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 3,782 | $6,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E780 | CMN | 243 | $6,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 811 | $6,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 4,499 | $6,000 | thousands by filing date | |
| WESTWATER RES INC | 961684206 | COM NEW | 2,876 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051259 | XTRACKERS HIGH | 123 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 83 | $6,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 2,230 | $6,000 | thousands by filing date | |
| LISTED FDS TR | 53656F854 | SHARES MUNI DB | 245 | $6,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 1,500 | $6,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 200 | $6,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,000 | $6,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 694 | $6,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 13,538 | $6,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 2,056 | $6,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 6,000 | $6,000 | thousands by filing date | principal |
| EXFO INC | 302046107 | SUB VTG SHS | 1,332 | $6,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 1,697 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 4,231 | $6,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 714 | $6,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 953 | $6,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 163 | $6,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 7,041 | $6,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 1,526 | $6,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 1,678 | $6,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 5,140 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $6,000 | thousands by filing date | principal |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 15,169 | $6,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 2,172 | $6,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 225 | $6,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 2,491 | $6,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 4,230 | $6,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 1,574 | $6,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 10,192 | $6,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 953 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A677 | NATIONWIDE ETF | 187 | $6,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNE | 51508j405 | LP | 224 | $6,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402q100 | COM | 620 | $6,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 6,295 | $6,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 599 | $6,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP III | G04415108 | SHS | 550 | $6,000 | thousands by filing date | |
| TAOPING INC COM | G8675V101 | Stock | 11,397 | $6,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 7,127 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 366 | $6,000 | thousands by filing date | |
| DROPCAR INC | 26210U203 | COM NEW | 6,579 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y832 | ICBCCS S&P CHINA | 209 | $6,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053406 | SPONSORED ADS | 1,079 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B128 | ULTRPRO COM SR | 90 | $6,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 764 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P694 | FRANKLN SWZLND | 163 | $5,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 200 | $5,000 | thousands by filing date | call |
| FIDELITY HIGH YIELD FACTOR ETF | 316092618 | HIGH YILD ETF | 90 | $5,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 236 | $5,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 615 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 211 | $5,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 623 | $5,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 1,847 | $5,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 250 | $5,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,603 | $5,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 1,338 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 149 | $5,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 525 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 205 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 181 | $5,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER JULY | 45782C839 | ETF | 201 | $5,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 233 | $5,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 2,121 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 191 | $5,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 236 | $5,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 2,803 | $5,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 638 | $5,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R603 | CMN | 183 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 72 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 1,908 | $5,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 5,068 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 230 | $5,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 16,418 | $5,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 8,546 | $5,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 823 | $5,000 | thousands by filing date | |
| STRATEGY SHS | 86280R886 | NEWFOUND RESLV | 184 | $5,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 7,987 | $5,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 3,301 | $5,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 1,053 | $5,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 3,606 | $5,000 | thousands by filing date | |
| AXE COMPUTE INC COM NEW | 74039M200 | Stock | 2,021 | $5,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 2,153 | $5,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X309 | COM | 11,433 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E347 | S&P500 MIN VAR | 158 | $5,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 3,000 | $5,000 | thousands by filing date | principal |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 13,002 | $5,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,149 | $5,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 1,000 | $5,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 331 | $5,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,981 | $5,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 1,528 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 69 | $5,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 3,742 | $5,000 | thousands by filing date | |
| HIGHEST PERFORMANCES HOLDINGS - ADR | 69373Y109 | COM | 861 | $5,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 2,482 | $5,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 7,627 | $5,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 400 | $5,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 331 | $5,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 3,118 | $5,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 1,786 | $5,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J204 | SPONSORED ADS NEW | 749 | $5,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 312 | $5,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 1,709 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E117 | DAILY MD CP BEAR | 111 | $5,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 2,992 | $5,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N808 | VICOTRYSHS EMG | 214 | $5,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P404 | mc | 95 | $5,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 1,600 | $5,000 | thousands by filing date | |
| CHINA INTERNET NATIONWIDE FI | G2120A101 | SHS | 4,314 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E612 | PORTFLIOPLS EMG | 200 | $5,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 953 | $5,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A307 | COM PAR | 34,776 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| CASTOR MARITIME INC | Y1146L109 | SHS | 2,835 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC INV USTREA ETN | 06742W570 | Stock | 386 | $5,000 | thousands by filing date | |
| AGF INVTS TR | 00110G101 | AGFIQ US MK MNTM | 207 | $5,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E571 | VELCTYSHS EURUSD | 159 | $5,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 2,000 | $5,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 195 | $5,000 | thousands by filing date | |
| USCF ETF TR | 90290T700 | SUMERHAVEN EQT | 329 | $5,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W874 | MLT FCTR INCM | 183 | $5,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 166 | $4,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 3,913 | $4,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 530 | $4,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 410 | $4,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 196 | $4,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 1,155 | $4,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 95 | $4,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 671 | $4,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 225 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 78 | $4,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 9,532 | $4,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 439 | $4,000 | thousands by filing date | |
| BRAINSWAY LTD | 10501L106 | CMN | 370 | $4,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 2,261 | $4,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,100 | $4,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM | 063679856 | 2X LEVERAGED | 70 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 79 | $4,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 784 | $4,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,092 | $4,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 2,677 | $4,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 1,943 | $4,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122140 | RIGHT 12/30/2030 | 8,910 | $4,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 7,668 | $4,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 4,952 | $4,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 2,000 | $4,000 | thousands by filing date | put |
| IVERIC BIO INC | 46583P102 | COM | 483 | $4,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 346 | $4,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 3,700 | $4,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 1,578 | $4,000 | thousands by filing date | |
| QNITY ELECTRONICS INC | 817323207 | COM | 1,422 | $4,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 339 | $4,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 712 | $4,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 2,550 | $4,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 4,000 | $4,000 | thousands by filing date | principal |
| ORGENESIS INC | 68619K204 | COM | 949 | $4,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P201 | COM | 2,381 | $4,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 4,146 | $4,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 493 | $4,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 6,512 | $4,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,000 | $4,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 229 | $4,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 6,055 | $4,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 857 | $4,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 8,862 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 383 | $4,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 15,027 | $4,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 726 | $4,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 35,276 | $4,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J200 | COM | 2,840 | $4,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 3,528 | $4,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 2,504 | $4,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 11,426 | $4,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 12,508 | $4,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 2,000 | $4,000 | thousands by filing date | principal |
| ASTROTECH CORP | 046484200 | COM NEW | 2,059 | $4,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 9,745 | $4,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 2,341 | $4,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 3,921 | $4,000 | thousands by filing date | |
| HERMITAGE OFFSHORE SERVICE L | G4511M108 | SHS | 3,216 | $4,000 | thousands by filing date | |
| SUNDANCE ENERGY INC | 86725N102 | COM | 184 | $4,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 2,659 | $4,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N106 | COM | 7,745 | $4,000 | thousands by filing date | |
| MMTEC INC | G6181K106 | SHS | 2,026 | $4,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 298 | $4,000 | thousands by filing date | |
| BLUE HAT INTERACTIVE ENTMT T | G1329V106 | SHS | 1,810 | $4,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 440 | $4,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 1,335 | $4,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 6,009 | $4,000 | thousands by filing date | |
| INVESCO CURNCYSHS CHINESE RE | 46138X105 | CHINESE RENMIN | 52 | $4,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 1,252 | $4,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 2,000 | $4,000 | thousands by filing date | principal |
| ATIF HOLDINGS LIMITED | G0602B100 | SHS | 2,140 | $4,000 | thousands by filing date | |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 736 | $4,000 | thousands by filing date | |
| RUHNN HLDG LTD | 781314109 | ADS | 510 | $4,000 | thousands by filing date | |
| SHINECO INC COM NEW | 824567200 | Stock | 6,669 | $4,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 2,477 | $4,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 3,108 | $4,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 110 | $4,000 | thousands by filing date | |
| GRAF INDUSTRIAL CORP | 384278206 | COM | 347 | $4,000 | thousands by filing date | |
| VALERITAS HOLDINGS INC | 91914N301 | COM | 6,599 | $4,000 | thousands by filing date | |
| CHINA RECYCLING ENERGY CORP | 168913200 | COM NEW | 14,363 | $4,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A115 | *W EXP 02/28/202 | 3,850 | $4,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 112 | $3,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 100 | $3,000 | thousands by filing date | put |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 1,515 | $3,000 | thousands by filing date | |
| iShares Cybersecurity and Tech ETF | 46435U135 | CYBERSECURITY | 100 | $3,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C532 | US EQTY ULTRA B | 126 | $3,000 | thousands by filing date | |
| AMERICAN RES CORP | 02927U208 | CL A | 5,187 | $3,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W598 | BLOOMBERG ROLL | 67 | $3,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 812 | $3,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 112 | $3,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 150 | $3,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 106 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y574 | ADAPTIVE US | 100 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 79 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A230 | HOYA CAP HOUSI | 96 | $3,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P507 | ST STR SECTO ETF | 103 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $3,000 | thousands by filing date | principal |
| VIRCO MFG CO | 927651109 | COM | 717 | $3,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 783 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 128 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L207 | CMN | 158 | $3,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 131 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 47 | $3,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 780 | $3,000 | thousands by filing date | |
| LISTED FDS TR | 53656F870 | SHARES FOREIGN | 103 | $3,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 2,447 | $3,000 | thousands by filing date | |
| NATUZZI S P A | 63905A200 | SPON ADS | 1,729 | $3,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 734 | $3,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 1,440 | $3,000 | thousands by filing date | |
| TIDAL TRUST I | 886364306 | SOFI NEXT 500 | 245 | $3,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 927 | $3,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 2,000 | $3,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R125 | WARR | 2,317 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P431 | FUND | 78 | $3,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 1,000 | $3,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 175 | $3,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 939 | $3,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 4,670 | $3,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 3,000 | $3,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 3,202 | $3,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 2,800 | $3,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 593 | $3,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 9,919 | $3,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641810 | CMCI GOLD ETN | 89 | $3,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 133 | $3,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 3,105 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 139 | $3,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 3,250 | $3,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 2,643 | $3,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 504 | $3,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 1,196 | $3,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 1,259 | $3,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 3,928 | $3,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 493 | $3,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 100 | $3,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 2,683 | $3,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| AMTD IDEA GROUP | 00180G106 | SPONSORED ADS | 386 | $3,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 3,234 | $3,000 | thousands by filing date | |
| YAYYO, INC. | 985294107 | COM | 2,050 | $3,000 | thousands by filing date | |
| AKERNA CORP | 00973W110 | WTS | 3,000 | $3,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 850 | $3,000 | thousands by filing date | |
| Trovagene Inc | 897238606 | COM | 2,397 | $3,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W655 | EVOLVED FINLS | 98 | $3,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 2,881 | $3,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 1,500 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X149 | FNDMTL US SHRT | 50 | $3,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 4,800 | $3,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 870 | $3,000 | thousands by filing date | |
| ALBERTON ACQUISITION CORP | G35006108 | ORD SHS | 307 | $3,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 5,950 | $3,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 7,221 | $3,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 166 | $3,000 | thousands by filing date | |
| JMU LTD | 46647L204 | SPONSORED ADS | 3,430 | $3,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 888 | $3,000 | thousands by filing date | |
| GLOBAL X MSCI CHINA LARGE-CAP 50 ETF | 37954Y566 | ETF | 90 | $3,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K100 | COM CL A | 253 | $3,000 | thousands by filing date | |
| SENECA BIOPHARMA INC | 81689B103 | COM | 2,678 | $3,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M201 | UNIT 99/99/9999 | 274 | $3,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372132 | ORD SHS | 300 | $3,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 3,801 | $3,000 | thousands by filing date | |
| TRANS WORLD ENTMT CORP | 89336Q209 | COM | 1,290 | $3,000 | thousands by filing date | |
| VIRGIN GALACTIC HOLDINGS INC | 92766K114 | W EXP 11/25/202 | 1,000 | $3,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 1,179 | $3,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | 61946M209 | UNIT 99/99/9999 | 300 | $3,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G714 | RUSL 1000 YIEL | 100 | $3,000 | thousands by filing date | |
| GLOWPOINT INC | 379887508 | COM | 2,432 | $3,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 340 | $3,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 100 | $2,000 | thousands by filing date | call |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 51 | $2,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 250 | $2,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q647 | MUNICIPAL ETF | 35 | $2,000 | thousands by filing date | |
| ADAPTHEALTH CORP | 00653Q102 | COMMON STOCK | 198 | $2,000 | thousands by filing date | |
| FRANCHISE GROUP INC | 35180X105 | COM | 66 | $2,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 260 | $2,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 838 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 83 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 63 | $2,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092386 | STOCK FOR INFL | 75 | $2,000 | thousands by filing date | |
| US VEGAN CLIMATE ETF | 26922A297 | ETF | 85 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 102 | $2,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 90 | $2,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q700 | COM | 1,338 | $2,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 983 | $2,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 61 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 60 | $2,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 1,743 | $2,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 294 | $2,000 | thousands by filing date | |
| WAH FU EDUCATION GROUP LIMIT | G94184101 | SHS | 1,219 | $2,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 91 | $2,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 915 | $2,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 86 | $2,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $2,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y201 | ADR NEW | 557 | $2,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 850 | $2,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 1,224 | $2,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 544 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P514 | FUND | 49 | $2,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 243 | $2,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 1,368 | $2,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 271 | $2,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 172 | $2,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 1,000 | $2,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 2,871 | $2,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 995 | $2,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 543 | $2,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 1,510 | $2,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 733 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 43 | $2,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 383 | $2,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 696 | $2,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 1,418 | $2,000 | thousands by filing date | |
| PINTEC TECHNOLOGY HLDGS LTD SPONSORED ADS | 72352G107 | ADR | 1,172 | $2,000 | thousands by filing date | |
| NULL | 301505749 | NULL | 69 | $2,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 650 | $2,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,480 | $2,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 1,901 | $2,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 1,942 | $2,000 | thousands by filing date | |
| CAN FITE BIOPHARMA LTD | 13471N201 | SPONSORED ADS | 751 | $2,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 591 | $2,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 346 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 75 | $2,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505764 | CAPITAL LINK GBL | 80 | $2,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 3,347 | $2,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 474 | $2,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 1,388 | $2,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 2,250 | $2,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 1,000 | $2,000 | thousands by filing date | principal |
| ONCOSEC MED INC | 68234L306 | COM | 925 | $2,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 2,346 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y533 | MSCI CHINA IT | 110 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 181 | $2,000 | thousands by filing date | |
| CSOP ETF TR | 12649L204 | MSCI CHINA A I | 71 | $2,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,000 | $2,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 6,007 | $2,000 | thousands by filing date | |
| BIOFRONTERA AG ADR | 09075G105 | COM | 200 | $2,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 2,027 | $2,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 55 | $2,000 | thousands by filing date | |
| CAMBER ENERGY INC | 13200M508 | COM | 846 | $2,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 2,143 | $2,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A114 | *W EXP 07/31/202 | 9,502 | $2,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F115 | *W EXP 08/21/202 | 7,300 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H508 | MUNI ALOCATN ETF | 97 | $2,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P118 | *W EXP 03/13/202 | 10,662 | $2,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 8,018 | $2,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 1,890 | $2,000 | thousands by filing date | |
| FANGDD NETWORK GROUP LTD | 30712L109 | SPONSORED ADS | 100 | $2,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP SHS NEW | Y73760301 | Stock | 3,099 | $2,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M133 | UNIT 05/10/2024 | 199 | $2,000 | thousands by filing date | |
| PUHUI WEALTH INVT MGMT CO LT | G7306H101 | SHS | 1,040 | $2,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 4,040 | $2,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 198 | $2,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 3,715 | $2,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q114 | *W EXP 04/17/202 | 2,300 | $2,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 3,108 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J684 | BULLSHS 21 USD | 64 | $2,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L113 | *W EXP 07/31/202 | 3,000 | $2,000 | thousands by filing date | |
| SCIENJOY HOLDING CORP SHS | G4887W110 | Common Stock | 200 | $2,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q114 | *W EXP 11/20/202 | 643 | $2,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 625 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 227 | $2,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 2,573 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A693 | BRAND VALUE | 134 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A644 | NATIONWIDE MAX | 90 | $2,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E121 | RIGHT 99/99/9999 | 8,235 | $2,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 1,039 | $2,000 | thousands by filing date | |
| FELLAZO ACQ CORP; TNT ACQ DT: 7/25/20; CASH $10.0 | G3362K112 | COM | 152 | $2,000 | thousands by filing date | |
| MIDATECH PHARMA PLC SPONSORED | 59564R203 | ADR | 2,763 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74348A186 | ULTRPRO SHRT NEW | 400 | $2,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 43 | $1,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 100 | $1,000 | thousands by filing date | call |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 60 | $1,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 135 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 288 | $1,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 790 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 42 | $1,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A388 | APTUS DEFINED | 32 | $1,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505723 | ROBO GBL HLTCR | 35 | $1,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 264 | $1,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C680 | US EQTY PWR BF | 27 | $1,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 167 | $1,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 200 | $1,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 102 | $1,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 94 | $1,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 83 | $1,000 | thousands by filing date | |
| Hartford Schroders Tax-Aware Bond ETF | 41653L404 | ETF | 28 | $1,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 200 | $1,000 | thousands by filing date | put |
| PACER FDS TR | 69374H642 | TRENDPILOT US BD | 56 | $1,000 | thousands by filing date | |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 21 | $1,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 200 | $1,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 358 | $1,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 689 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 25 | $1,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 50 | $1,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 422 | $1,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527109 | SHS | 620 | $1,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 640 | $1,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 420 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 34 | $1,000 | thousands by filing date | |
| SPDR SER TR | 78468R689 | S&P KENSHO SMART | 39 | $1,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 1,185 | $1,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 482 | $1,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 21 | $1,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 735 | $1,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 1,742 | $1,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 100 | $1,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 1,659 | $1,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 102 | $1,000 | thousands by filing date | |
| WTS/ALLEGRO MERGER CORP EXP01/06/25 | 01749N111 | WARR | 7,031 | $1,000 | thousands by filing date | |
| TIDAL TRUST I | 886364405 | SOFI SOCIAL 50 | 63 | $1,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 733 | $1,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 200 | $1,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 49 | $1,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 100 | $1,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 710 | $1,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 18 | $1,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C201 | COMMON STOCK-FO | 247 | $1,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 482 | $1,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 292 | $1,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A303 | COM | 592 | $1,000 | thousands by filing date | |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 216 | $1,000 | thousands by filing date | |
| 36KR HOLDINGS INC SPONSORED ADR | 88429K103 | ADR | 187 | $1,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 2,157 | $1,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 1,860 | $1,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 197 | $1,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 150 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G848 | VIRTUS WMC INTNL | 42 | $1,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 300 | $1,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 585 | $1,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 558 | $1,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 656 | $1,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 3,880 | $1,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 140 | $1,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 755 | $1,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 198 | $1,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 1,000 | $1,000 | thousands by filing date | principal |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 914 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,000 | $1,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 84 | $1,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 80 | $1,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 248 | $1,000 | thousands by filing date | |
| MOGU INC SPON ADS | 608012100 | ADR | 324 | $1,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LIMITED NEW SPONSRD ADR | 37185R307 | NEW SPONSRD ADR | 325 | $1,000 | thousands by filing date | |
| NANOVIBRONIX INC | 63008J108 | COM | 202 | $1,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 1,095 | $1,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 200 | $1,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 244 | $1,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J734 | STRG US SML ETF | 43 | $1,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 603 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 69 | $1,000 | thousands by filing date | |
| IMPACT | 45259A308 | SHS FDS I TR SUS DV GGE ETF | 32 | $1,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 1,073 | $1,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U119 | *W EXP 08/06/202 | 1,105 | $1,000 | 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 |