13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-01, with 8,069 holding rows worth $212,209,793,000.
- Accession
- 0000950123-20-003758
- Filer
- CIK 1610520
- Filed
- 2020-05-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A combination report, 13,681 entries on the cover page, a total value of $212,209,793,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $212,209,823,000 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 |
|---|---|---|---|---|---|---|
| NEVRO CORP | 64157F103 | COM | 774 | $77,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 14,451 | $77,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 10,103 | $77,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 9,650 | $77,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 42,484 | $77,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,110 | $77,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,814 | $77,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 1,737 | $77,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 4,280 | $77,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 1,287 | $76,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 14,570 | $76,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 10,504 | $76,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P611 | CMN | 3,036 | $76,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 1,615 | $76,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 23,542 | $76,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 9,248 | $76,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 6,317 | $76,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 3,433 | $75,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 2,700 | $75,000 | thousands by filing date | put |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 75,000 | $75,000 | thousands by filing date | call |
| FNCB BANCORP INC | 302578109 | COM | 10,786 | $75,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 12,959 | $75,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P678 | FTSE UNTD KGDM | 4,145 | $74,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 4,026 | $74,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 96,675 | $74,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 2,714 | $74,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R697 | SP KENSHO INFRA | 3,215 | $74,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 4,784 | $74,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 6,486 | $74,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 4,132 | $74,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 13,272 | $74,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 5,327 | $73,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 8,993 | $73,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A321 | DISTILLATE US | 2,945 | $73,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 2,749 | $73,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 8,767 | $73,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 20,382 | $73,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 8,234 | $73,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 9,360 | $73,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 61,448 | $73,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 7,806 | $73,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 8,988 | $73,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 37,600 | $72,000 | thousands by filing date | call |
| AXT INC | 00246W103 | COM | 22,492 | $72,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 5,389 | $72,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 5,039 | $72,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 1,428 | $72,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E131 | S&P SMLCAP HIG | 5,032 | $72,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 28,652 | $72,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 3,323 | $72,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 500 | $71,000 | thousands by filing date | put |
| FORTINET INC COM | 34959E109 | Stock | 700 | $71,000 | thousands by filing date | put |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 13,928 | $71,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 1,671 | $71,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 3,439 | $71,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 10,232 | $71,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 34,886 | $71,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 12,607 | $71,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 6,512 | $71,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 6,456 | $71,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 2,893 | $71,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 4,863 | $71,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 900 | $70,000 | thousands by filing date | put |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 8,007 | $70,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 6,042 | $70,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 6,609 | $70,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 2,521 | $70,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 198,786 | $70,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 2,224 | $70,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 42,605 | $70,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 15,039 | $70,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 5,475 | $70,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q811 | LONG SHORT ETF | 3,830 | $70,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 9,854 | $69,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 14,602 | $69,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 18,080 | $69,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 3,727 | $69,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 32,308 | $69,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 4,479 | $68,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 1,603 | $68,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 50,547 | $68,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 27,103 | $68,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 5,363 | $68,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 120,542 | $68,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 45,715 | $68,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 6,628 | $68,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 104,806 | $68,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 4,398 | $68,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 24,495 | $68,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 74,785 | $68,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J668 | BULLSHS 23 USD | 2,805 | $68,000 | thousands by filing date | |
| AXOSFINLINC | 05465C100 | STOK | 3,692 | $67,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 6,300 | $67,000 | thousands by filing date | put |
| SPROUT SOCIAL INC COM CL A | 85209W109 | Stock | 4,214 | $67,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 17,341 | $67,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 3,600 | $67,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 31,750 | $67,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 8,524 | $67,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 4,266 | $67,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 2,758 | $67,000 | thousands by filing date | |
| SIRIUS INTERNATIONAL INSURAN COM | G8196D101 | Stock | 7,862 | $67,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 7,734 | $66,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 6,299 | $66,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 1,600 | $66,000 | thousands by filing date | |
| INNOVATOR U.S. EQUITY BUFFER ETF - OCTOBER | 45782C771 | ETF | 2,942 | $66,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P854 | ESG HI TLD CRP | 2,949 | $66,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 2,404 | $66,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 5,834 | $66,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 17,759 | $66,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 66,344 | $66,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 23,744 | $66,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 4,389 | $66,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 600 | $65,000 | thousands by filing date | put |
| WEIS MKTS INC COM | 948849104 | Stock | 1,569 | $65,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 108,085 | $65,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 3,523 | $65,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 2,439 | $65,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 2,561 | $65,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 4,621 | $65,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 17,707 | $65,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 3,697 | $65,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 500 | $64,000 | thousands by filing date | put |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 37,600 | $64,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 7,348 | $64,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 3,492 | $64,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 21,008 | $64,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 6,143 | $64,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 416 | $64,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,148 | $64,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 16,297 | $64,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y301 | Cmn | 3,346 | $64,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 5,659 | $64,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 300 | $63,000 | thousands by filing date | put |
| BEL FUSE INC | 077347300 | CL B | 6,453 | $63,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 28,475 | $63,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 6,269 | $63,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 29,193 | $63,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 3,588 | $63,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 1,679 | $63,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 2,021 | $63,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 2,169 | $63,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 9,894 | $63,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 15,801 | $63,000 | thousands by filing date | |
| NATURA &CO HLDG S A | 63884N108 | ADR | 6,459 | $63,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 25,288 | $63,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 1,098 | $63,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539U107 | FI ENHNCD EUR 50 | 1,166 | $63,000 | thousands by filing date | |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 780 | $62,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 3,153 | $62,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 1,566 | $62,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 4,981 | $62,000 | thousands by filing date | |
| APERGY CORP | 03755L104 | COM | 10,794 | $62,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 3,753 | $62,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 15,029 | $62,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 6,401 | $62,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 13,072 | $62,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 10,867 | $62,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P449 | FUND | 1,829 | $62,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 12,690 | $62,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1,657 | $62,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E605 | MKT HLDGS I VELCTYSHS AUDUSD | 1,220 | $62,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 3,915 | $62,000 | thousands by filing date | |
| SITIME CORP COM | 82982T106 | Stock | 2,806 | $61,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 10,428 | $61,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 9,456 | $61,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 9,403 | $61,000 | thousands by filing date | |
| PACER FDS TR | 69374H691 | mc | 2,762 | $61,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 19,254 | $61,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 29,673 | $61,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 84,762 | $61,000 | thousands by filing date | |
| FARMMI INC SHS NEW | G33277107 | Stock | 110,048 | $61,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 500 | $60,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 3,468 | $60,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 2,403 | $60,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 14,411 | $60,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935409 | US MINIMUM | 843 | $60,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE MOMENTUM ETF | 02072L409 | ETF | 2,310 | $60,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 2,419 | $60,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 6,297 | $60,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 9,676 | $60,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 40,623 | $60,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P806 | RIVRFRNT DYN EUR | 1,282 | $60,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,985 | $60,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 2,226 | $60,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 1,865 | $60,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 2,360 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 2,382 | $60,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 4,674 | $59,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 4,673 | $59,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 70,916 | $59,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 1,165 | $59,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 3,904 | $59,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 2,989 | $59,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 1,610 | $59,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 29,732 | $59,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 1,071 | $59,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 18,887 | $59,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 63,040 | $59,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 13,823 | $59,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 1,895 | $59,000 | thousands by filing date | |
| DIAMOND EAGLE ACQUISITION CO | 25258L109 | COM CL A | 4,757 | $59,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 4,946 | $58,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 5,651 | $58,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 7,410 | $58,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 10,921 | $58,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 11,363 | $58,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 777 | $58,000 | thousands by filing date | |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 3,483 | $58,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 20,381 | $58,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 4,694 | $58,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 3,137 | $58,000 | thousands by filing date | |
| NULL | 301505749 | NULL | 2,719 | $58,000 | thousands by filing date | |
| FIRST SEACOAST BANCORP | 33631P102 | COM | 9,562 | $58,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 29,844 | $58,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 11,806 | $58,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108706 | Cmn | 3,009 | $58,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 700 | $57,000 | thousands by filing date | put |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 4,752 | $57,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 12,923 | $57,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 600 | $57,000 | thousands by filing date | put |
| BRF SA | 10552T107 | SPONSORED ADR | 19,600 | $57,000 | thousands by filing date | call |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 1,146 | $57,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 7,639 | $57,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 6,427 | $57,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 5,381 | $57,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 5,635 | $57,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 2,028 | $57,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 1,110 | $57,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 6,030 | $57,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 60,708 | $57,000 | thousands by filing date | |
| INVESCO | 46138J544 | EXCHANGE TRADED | 2,301 | $57,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 7,511 | $57,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 9,731 | $57,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 23,203 | $57,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 1,441 | $57,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 5,492 | $57,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X204 | UNIT 05/09/2026 | 5,800 | $57,000 | thousands by filing date | |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 879 | $57,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 3,654 | $56,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 8,150 | $56,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 5,305 | $56,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 6,577 | $56,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 10,785 | $56,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 895 | $56,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 3,194 | $56,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 1,660 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 1,229 | $56,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 83,238 | $56,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 45,513 | $56,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 12,524 | $56,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 12,655 | $56,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 5,383 | $56,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 99,932 | $56,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 12,714 | $56,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 5,389 | $55,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 15,345 | $55,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 21,297 | $55,000 | thousands by filing date | |
| GARRETT MOTION INC | 366505105 | COM | 19,249 | $55,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G772 | INFRAC ACT MLP | 5,025 | $55,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 7,112 | $55,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 6,723 | $55,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 21,950 | $55,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 8,577 | $55,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 6,740 | $55,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 8,557 | $55,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 568 | $55,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 1,673 | $55,000 | thousands by filing date | |
| GLOBAL X MSCI CHINA LARGE-CAP 50 ETF | 37954Y566 | ETF | 2,102 | $55,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 600 | $54,000 | thousands by filing date | put |
| ALERUS FINL CORP | 01446U103 | COM | 3,278 | $54,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 10,050 | $54,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 5,229 | $54,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 7,317 | $54,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 6,161 | $54,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 4,227 | $54,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,234 | $54,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 2,084 | $54,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 8,135 | $54,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 7,722 | $54,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P480 | FUND | 1,198 | $54,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 108,462 | $54,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 17,989 | $54,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 1,298 | $54,000 | thousands by filing date | |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 2,513 | $54,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y832 | ICBCCS S&P CHINA | 2,047 | $54,000 | thousands by filing date | |
| PAGERDUTY INC COM | 69553P100 | Stock | 3,020 | $53,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 757 | $53,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 5,700 | $53,000 | thousands by filing date | call |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 6,647 | $53,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 18,416 | $53,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 2,434 | $53,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 4,417 | $53,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 1,291 | $53,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 6,835 | $53,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 33,073 | $53,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 8,501 | $53,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 1,660 | $52,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 761 | $52,000 | thousands by filing date | |
| PACER FDS TR | 69374H642 | TRENDPILOT US BD | 2,045 | $52,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 10,078 | $52,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P876 | US SML CP MLTFCT | 2,535 | $52,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 2,582 | $52,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 4,505 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 1,057 | $52,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 77,762 | $52,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 1,608 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74347B318 | S&P 500 BD ETF | 592 | $52,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E704 | MKT HLDGS I VELCTYSHS CHFUSD | 2,000 | $52,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 2,646 | $52,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 1,039 | $52,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 3,914 | $51,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N527 | CORE BD ETF | 995 | $51,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 1,586 | $51,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 19,276 | $51,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 15,309 | $51,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 3,063 | $51,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 136,279 | $51,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 12,259 | $51,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 30,000 | $51,000 | thousands by filing date | principal |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 2,054 | $51,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 4,600 | $50,000 | thousands by filing date | call |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 7,265 | $50,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 727 | $50,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 30,920 | $50,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 32,506 | $50,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 3,052 | $50,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 1,643 | $50,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 251,816 | $50,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 6,595 | $50,000 | thousands by filing date | |
| ARROW INVTS TR | 042765719 | RESV CAP ETF | 500 | $50,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 46,873 | $50,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 8,144 | $50,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 5,372 | $50,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 33,974 | $50,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 2,460 | $50,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 1,466 | $50,000 | thousands by filing date | |
| IQ ULTRA SHORT DURATION ETF | 45409F819 | FUND | 1,040 | $50,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 4,866 | $50,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,047 | $50,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 25,009 | $49,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 934 | $49,000 | thousands by filing date | |
| INVESCO | 46138J528 | EXCHANGE TRADED | 1,967 | $49,000 | thousands by filing date | |
| INVESCO | 46138J536 | EXCHANGE TRADED | 1,974 | $49,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 4,428 | $49,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 12,754 | $49,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 3,493 | $49,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 67,070 | $49,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 7,488 | $49,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 22,500 | $49,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 11,602 | $49,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 8,078 | $49,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 6,534 | $49,000 | thousands by filing date | |
| Invesco Bulletshares 2022 Munic | 46138J551 | Equities | 1,985 | $49,000 | thousands by filing date | |
| JUNIPER INDL HLDGS INC | 48205G114 | *W EXP 11/13/202 | 87,500 | $49,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G203 | FLIGHT TO SAFT | 986 | $49,000 | thousands by filing date | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 1,399 | $49,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 26,221 | $48,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 1,872 | $48,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 11,808 | $48,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 1,713 | $48,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 5,586 | $48,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 5,055 | $48,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 4,407 | $48,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C581 | US EQTY BUF NOV | 2,118 | $48,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 34,000 | $48,000 | thousands by filing date | principal |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 14,237 | $48,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 21,016 | $48,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 31,784 | $48,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 5,000 | $48,000 | thousands by filing date | |
| ALUSSA ENERGY ACQUISITION CO | G0232J127 | UNIT 10/31/2026 | 4,857 | $48,000 | thousands by filing date | |
| Tottenham Acquisition I Limited | G8959N106 | SHS | 4,600 | $48,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 300 | $47,000 | thousands by filing date | put |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 5,077 | $47,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 4,502 | $47,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 4,464 | $47,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,447 | $47,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 914 | $47,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 8,728 | $47,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 10,998 | $47,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 27,433 | $47,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 1,977 | $47,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W401 | INTL LEADERS ETF | 2,263 | $47,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 74,709 | $47,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 52,504 | $47,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 1,327 | $47,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 2,205 | $47,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 3,196 | $47,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 17,586 | $47,000 | thousands by filing date | |
| METEN HOLDING GROUP LTD | G6055H114 | ORD SHS | 1,990 | $47,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 4,866 | $47,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 25,041 | $47,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 400 | $46,000 | thousands by filing date | put |
| COMSTOCK RES INC COM | 205768302 | Stock | 8,524 | $46,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 714 | $46,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C813 | US EQTY PWR BUF | 1,918 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 1,056 | $46,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 2,204 | $46,000 | thousands by filing date | |
| NEW YORK LIFE INVTS ACTIVE E | 45409F827 | NYLI MACKAY MUN | 1,795 | $46,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 4,192 | $46,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 684 | $46,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 3,873 | $46,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 12,117 | $46,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 8,400 | $46,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 11,313 | $46,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P571 | FUND | 1,335 | $46,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 2,304 | $46,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 8,599 | $46,000 | thousands by filing date | |
| XP INC CL A | G98239109 | Stock | 2,336 | $45,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R643 | ENHANCD SHORT | 451 | $45,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 14,410 | $45,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 4,859 | $45,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 3,271 | $45,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 6,435 | $45,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,926 | $45,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 1,165 | $45,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 3,471 | $45,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 12,533 | $45,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 1,365 | $45,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 719 | $45,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 43,997 | $45,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505764 | CAPITAL LINK GBL | 1,867 | $45,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G102 | LADRD FD US EQT | 1,795 | $45,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A507 | MDRTLY CNSRTIV | 3,779 | $45,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNE | 51508j405 | LP | 2,478 | $45,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 800 | $44,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 1,253 | $44,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 18,000 | $44,000 | thousands by filing date | call |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 4,805 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 400 | $44,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C409 | US EQTY BUFR JAN | 1,764 | $44,000 | thousands by filing date | |
| ISHARES TR | 46435G219 | INVESTMENT GRADE | 887 | $44,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 10,000 | $44,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2029 CORPORATE BOND ETF | 46138J577 | ETF | 2,325 | $44,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 4,949 | $44,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 10,446 | $44,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 1,626 | $44,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 27,017 | $44,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 10,251 | $44,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 4,346 | $44,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 7,996 | $44,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 124,876 | $44,000 | thousands by filing date | |
| INTERPRIVATE ACQUISITION COR | 46064A202 | UNIT 10/29/2024 | 4,466 | $44,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E654 | MKT HLDGS I VELCTYSHS JPYUSD | 1,958 | $44,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 970 | $43,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 12,340 | $43,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 2,225 | $43,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 4,758 | $43,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 20,145 | $43,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 5,703 | $43,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 6,859 | $43,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 24,107 | $43,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 1,516 | $43,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 55,242 | $43,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 1,487 | $43,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 16,253 | $43,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 14,560 | $43,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P589 | FUND | 1,058 | $43,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 36,543 | $43,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J734 | STRG US SML ETF | 2,536 | $43,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L207 | COMMON | 11,548 | $43,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 13,666 | $43,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 3,500 | $43,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 1,895 | $42,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 19,188 | $42,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 1,391 | $42,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 3,000 | $42,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 1,712 | $42,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 4,407 | $42,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,287 | $42,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 1,400 | $42,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 1,382 | $42,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 6,320 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 1,182 | $42,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 22,800 | $42,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 85,000 | $42,000 | thousands by filing date | principal |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 5,752 | $42,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L786 | WESTN AST SHRT | 1,877 | $42,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 49,439 | $42,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 15,759 | $42,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 500 | $41,000 | thousands by filing date | put |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 4,077 | $41,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 3,192 | $41,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 19,022 | $41,000 | thousands by filing date | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 2,837 | $41,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 3,233 | $41,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 51,748 | $41,000 | thousands by filing date | |
| DBX ETF TR | 233051226 | CMN | 1,924 | $41,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 2,159 | $41,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 13,540 | $41,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 10,986 | $41,000 | thousands by filing date | |
| ARROW INVTS TR | 042765685 | DWA TACT INTL | 2,070 | $41,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A834 | ALPHAMARK SM | 2,332 | $41,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L706 | MERLYN AI BULL | 1,847 | $41,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 1,644 | $41,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 7,427 | $41,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 16,888 | $40,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 1,205 | $40,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,018 | $40,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 2,512 | $40,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 6,470 | $40,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-003758 | this filing | 2020-05-01 | acceptance time not in the bulk data set |