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 |
|---|---|---|---|---|---|---|
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 16,000 | $40,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 2,255 | $40,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 5,735 | $40,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 980 | $40,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 943 | $40,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 14,001 | $40,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 41,697 | $40,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 2,719 | $40,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 1,791 | $40,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 12,331 | $40,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 1,153 | $40,000 | thousands by filing date | |
| PACIFIC GLOBAL ETF TR INTL EQUITY INCM | 69434K304 | CEF | 2,044 | $40,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 700 | $39,000 | thousands by filing date | put |
| WISDOMTREE INC | 97717P104 | COM | 16,520 | $39,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 1,148 | $39,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 3,468 | $39,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 15,093 | $39,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 1,734 | $39,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138J676 | BULLETSHS 2026 | 1,586 | $39,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 229,079 | $39,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 6,945 | $39,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 4,691 | $39,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430362 | ACCESS INFLATI | 743 | $39,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 2,684 | $39,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 2,412 | $39,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 1,822 | $39,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 16,043 | $39,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P514 | FUND | 1,094 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 2,842 | $39,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,759 | $39,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 101,391 | $39,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 8,275 | $39,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 3,884 | $39,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L854 | TACTICAL INCOM | 1,723 | $39,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y741 | YIELD ENHND FD | 1,492 | $39,000 | thousands by filing date | |
| Avantis International Equity ETF | 025072703 | SHS | 948 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 1,952 | $38,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 1,935 | $38,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 2,640 | $38,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 4,531 | $38,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 15,908 | $38,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 9,739 | $38,000 | thousands by filing date | |
| PROSHARES TR II | 74347W270 | ULTRA YEN NEW | 675 | $38,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 3,366 | $38,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 38,568 | $38,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 3,610 | $38,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 1,919 | $38,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 11,220 | $38,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,775 | $38,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 5,161 | $38,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 900 | $38,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 1,760 | $38,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 7,255 | $38,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 4,605 | $38,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,996 | $38,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 2,346 | $38,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 1,818 | $38,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 14,162 | $38,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 2,829 | $38,000 | thousands by filing date | |
| IMMUNOVANT INC | 45258J102 | COM | 2,357 | $37,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 7,818 | $37,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q753 | US VALUE FACTR | 1,841 | $37,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C862 | INNOVATOR DEEPW | 1,663 | $37,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 56,705 | $37,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 6,146 | $37,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 5,069 | $37,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 15,154 | $37,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 1,376 | $37,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 1,649 | $37,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 2,324 | $37,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 27,155 | $37,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 3,530 | $37,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 2,334 | $37,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 74,573 | $37,000 | thousands by filing date | |
| PRINCIPAL CONTRARIAN VALUE INDEX ETF | 74255Y862 | ETF | 1,926 | $37,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 6,134 | $36,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 300 | $36,000 | thousands by filing date | put |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 800 | $36,000 | thousands by filing date | put |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 1,163 | $36,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 12,842 | $36,000 | thousands by filing date | |
| FIDELITY HIGH YIELD FACTOR ETF | 316092618 | HIGH YILD ETF | 750 | $36,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 8,091 | $36,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 9,380 | $36,000 | thousands by filing date | |
| Hartford Schroders Tax-Aware Bond ETF | 41653L404 | ETF | 1,751 | $36,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 1,695 | $36,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 3,289 | $36,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 1,283 | $36,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 2,826 | $36,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 2,214 | $36,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 3,286 | $36,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 1,688 | $36,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 19,753 | $36,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416607 | HARTFORD MLT DIV | 1,786 | $36,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 1,568 | $36,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 5,037 | $36,000 | thousands by filing date | |
| DIREXION DAILY REAL ESTATE BEAR 3X SHARES | 25460E141 | ETF | 1,109 | $36,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W655 | EVOLVED FINLS | 2,044 | $36,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y586 | CORNERSTONE SM | 1,400 | $36,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 11,184 | $35,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,261 | $35,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 16,726 | $35,000 | thousands by filing date | |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 4,716 | $35,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 51,161 | $35,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,131 | $35,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 2,145 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 2,120 | $35,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C763 | mc | 1,917 | $35,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 9,923 | $35,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 30,049 | $35,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 115,683 | $35,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 34,432 | $35,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q381 | BETABLDRS 1-5YR | 1,335 | $35,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CO COM | 80821R109 | Stock | 3,503 | $35,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E233 | VELCTYSHS USDCHF | 1,751 | $35,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,617 | $34,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 1,335 | $34,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 2,376 | $34,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 10,600 | $34,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 3,545 | $34,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,875 | $34,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 1,447 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 645 | $34,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 1,240 | $34,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 4,437 | $34,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 29,016 | $34,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 1,588 | $34,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 8,967 | $34,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 37,631 | $34,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,074 | $34,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 12,492 | $34,000 | thousands by filing date | |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 107,222 | $34,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 6,141 | $34,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 2,401 | $34,000 | thousands by filing date | |
| COLLIER CREEK HOLDINGS | G22707122 | UNIT 99/99/9999 | 3,300 | $34,000 | thousands by filing date | |
| VIVALDI OPPORTUNITIES FD | 92853C207 | Equity | 3,041 | $34,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 1,284 | $33,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 2,780 | $33,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C656 | US EQTY PWR BUF | 1,440 | $33,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C540 | US EQTY PWR BUF | 1,404 | $33,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C508 | US EQTY PWR BUF | 1,319 | $33,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 5,073 | $33,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 1,000 | $33,000 | thousands by filing date | call |
| VEONEER INC | 92336X109 | COM | 4,457 | $33,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N568 | USAA MSCI USA SM | 915 | $33,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C821 | US EQTY ULTRA B | 1,417 | $33,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 1,445 | $33,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 95 | $33,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 5,892 | $33,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 39,060 | $33,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 9,863 | $33,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 881 | $33,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 140,828 | $33,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y813 | ULTRA SHT ACTV | 1,347 | $33,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 13,357 | $33,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 1,788 | $33,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 14,279 | $33,000 | thousands by filing date | |
| LIANLUO SMART LTD COM CL A | G5478K100 | Stock | 70,401 | $33,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 664 | $32,000 | thousands by filing date | |
| Avantis Emerging Markets Equity ETF | 025072604 | SHS | 803 | $32,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 2,000 | $32,000 | thousands by filing date | call |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 100,291 | $32,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 434 | $32,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 8,195 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 1,624 | $32,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,583 | $32,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 16,475 | $32,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 1,080 | $32,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 4,069 | $32,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N543 | VICTORYSHS EMERG | 983 | $32,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y821 | CMN | 1,301 | $32,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 987 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 696 | $32,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 15,267 | $32,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 1,182 | $32,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 38,502 | $32,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 78,099 | $32,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 349 | $32,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754106 | COM | 3,225 | $32,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 29,470 | $31,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 1,926 | $31,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C722 | INTRNL DEV JULY | 1,480 | $31,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 1,363 | $31,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 692 | $31,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 67,811 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y574 | ADAPTIVE US | 1,766 | $31,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 21,165 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 1,205 | $31,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,358 | $31,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 81,356 | $31,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 5,466 | $31,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 7,711 | $31,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 18,307 | $31,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 9,052 | $31,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 15,495 | $31,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 4,538 | $31,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D124 | UNIT 12/31/2026 | 3,179 | $31,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 19,358 | $31,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 2,138 | $30,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 100 | $30,000 | thousands by filing date | put |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 400 | $30,000 | thousands by filing date | put |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 1,450 | $30,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C433 | US EQTY BUFR FEB | 1,435 | $30,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C789 | US EQTY BUFR JUL | 1,283 | $30,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 1,273 | $30,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 1,380 | $30,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q106 | COMMON STOCK | 4,000 | $30,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 3,554 | $30,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 5,568 | $30,000 | thousands by filing date | |
| ABRDN ETFS | 003261203 | BBRG ALL COMMDY | 1,554 | $30,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 423 | $30,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 1,267 | $30,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 1,300 | $30,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 1,215 | $30,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 34,160 | $30,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 8,043 | $30,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 2,500 | $30,000 | thousands by filing date | call |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 97,820 | $30,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 15,780 | $30,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 1,140 | $30,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 5,043 | $30,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 2,870 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E455 | CMN | 767 | $30,000 | thousands by filing date | |
| WISDOMTREE GROWTH LEADERS FUND | 97717Y717 | WT GRWTH LDRS | 1,276 | $30,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 1,036 | $30,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 2,000 | $30,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 3,000 | $30,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 7,810 | $30,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 1,203 | $30,000 | thousands by filing date | |
| DIREXION DAILY S&P OIL & GAS EXP. & PROD. BEAR 2X SHARES | 25460E174 | ETF | 1,283 | $30,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E464 | VELCTYSHS GBPUSD | 949 | $30,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 1,876 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 500 | $29,000 | thousands by filing date | put |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 12,885 | $29,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 11,473 | $29,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 1,730 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 1,331 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 3,310 | $29,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 684 | $29,000 | thousands by filing date | |
| Afya Ltd-Class A | G01125106 | COM | 1,513 | $29,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 3,535 | $29,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 1,375 | $29,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q449 | BETA US GRAD ETF | 540 | $29,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 7,294 | $29,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 1,155 | $29,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,366 | $29,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 633 | $29,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 16,756 | $29,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 5,293 | $29,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 32,000 | $29,000 | thousands by filing date | principal |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 3,809 | $29,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 2,358 | $29,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 2,756 | $29,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 1,333 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 888 | $29,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 3,969 | $29,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 14,641 | $29,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 14,078 | $29,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J569 | BULSHS 2021 MUNI | 1,177 | $29,000 | thousands by filing date | |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 1,972 | $29,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 4,053 | $28,000 | thousands by filing date | |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 2,144 | $28,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 6,731 | $28,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,375 | $28,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 3,858 | $28,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 914 | $28,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 38,400 | $28,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 4,809 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y782 | EMGRING MKTS | 1,607 | $28,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 1,251 | $28,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 1,433 | $28,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 1,674 | $28,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 516 | $28,000 | thousands by filing date | |
| ISHARES TR | 46435U333 | FOCUSD VAL FAC | 942 | $28,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 14,564 | $28,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F770 | CONV | 628 | $28,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 737 | $28,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 1,273 | $28,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 55,830 | $28,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 1,207 | $28,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 1,344 | $28,000 | thousands by filing date | |
| YUNHONG INTL | G98882114 | UNIT 99/99/9999 | 2,969 | $28,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 1,501 | $28,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L720 | CUR HDG DM IDX | 1,276 | $28,000 | thousands by filing date | |
| Invesco S&P 500 Momentum ETF | 46138E339 | SHS | 740 | $27,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 1,349 | $27,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 2,806 | $27,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188408 | LOW DURTIN ETF | 557 | $27,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C698 | US EQUT BUFR AUG | 1,167 | $27,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 1,275 | $27,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 17,692 | $27,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C474 | US SML CP PWR B | 1,233 | $27,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 1,117 | $27,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 989 | $27,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 1,306 | $27,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 1,125 | $27,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 4,810 | $27,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 1,393 | $27,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,060 | $27,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 9,035 | $27,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 1,000 | $27,000 | thousands by filing date | put |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 34,000 | $27,000 | thousands by filing date | principal |
| PENNEY J C INC | 708160106 | COM | 75,102 | $27,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 5,385 | $27,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 13,024 | $27,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 8,071 | $27,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 39,369 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 1,170 | $27,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H666 | FRMLAFOLIOS TATL | 1,186 | $27,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q706 | COM PAR | 60,554 | $27,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 1,138 | $27,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935300 | US LIQUIDITY | 429 | $27,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 1,896 | $27,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A651 | NATIONWIDE MAX | 1,072 | $27,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679831 | INVERSE ETN | 704 | $27,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 63,251 | $27,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 1,472 | $27,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 699 | $26,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 2,555 | $26,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 717 | $26,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 4,046 | $26,000 | thousands by filing date | |
| PROCURE SPACE ETF | 74280R205 | ETF | 1,529 | $26,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 150,000 | $26,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 1,518 | $26,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 903 | $26,000 | thousands by filing date | |
| GENASYS INC | 36872P103 | CMN | 7,854 | $26,000 | thousands by filing date | |
| NOVABRIDGE BIOSCIENCES | 44975P103 | CMN | 1,985 | $26,000 | thousands by filing date | |
| ISHARES TR | 46436E601 | ESG MSCI EM LDRS | 661 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 475 | $26,000 | thousands by filing date | |
| DBX ETF TR | 233051259 | XTRACKERS HIGH | 624 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 1,159 | $26,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,225 | $26,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 1,153 | $26,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 3,227 | $26,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 61,945 | $26,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 10,348 | $26,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468203 | COM NEW | 78,595 | $26,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A370 | LONCAR CHINA BIO | 1,148 | $26,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 11,163 | $26,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 20,972 | $26,000 | thousands by filing date | |
| Amplitude Inc | 03212A204 | Class A Common | 2,635 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 1,409 | $26,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E662 | MKT HLDGS I VELCTYSHS USDJPY | 1,124 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 1,435 | $25,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 500 | $25,000 | thousands by filing date | put |
| Milestone Pharmaceuticals Inc | 59935V107 | COM | 13,499 | $25,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 998 | $25,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 35,000 | $25,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,223 | $25,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 3,084 | $25,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 1,676 | $25,000 | thousands by filing date | |
| LISTED FDS TR | 53656F862 | SHARES CORE BD | 983 | $25,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 4,099 | $25,000 | thousands by filing date | |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 3,265 | $25,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 81,148 | $25,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 2,458 | $25,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 8,659 | $25,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E438 | RUSL 1000 ENHD | 1,206 | $25,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 5,983 | $25,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 30,154 | $25,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 1,198 | $25,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 1,324 | $25,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 51,989 | $25,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 130,822 | $25,000 | thousands by filing date | |
| ISHARES TR | 46435G656 | ADAPTIVE ETF | 1,115 | $25,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,806 | $24,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 33,157 | $24,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 5,260 | $24,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 50 | $24,000 | thousands by filing date | call |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 5,277 | $24,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 400 | $24,000 | thousands by filing date | put |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 1,720 | $24,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 973 | $24,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 4,856 | $24,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 8,500 | $24,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 7,623 | $24,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 3,058 | $24,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 474 | $24,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 5,787 | $24,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 2,345 | $24,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 51,555 | $24,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 51,648 | $24,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 13,865 | $24,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 983 | $24,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W671 | CONSUMER STPLS | 996 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 782 | $24,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 3,514 | $24,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T183 | VLCTYSHS 3X S&P | 954 | $24,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 4,847 | $24,000 | thousands by filing date | |
| TIDAL ETF TR | 886364108 | AWARE ULTRASHR | 505 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y525 | MSCI CHINA RE | 1,542 | $24,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 4,164 | $24,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G202 | UNIT 10/28/2024 | 2,564 | $24,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 7,253 | $23,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 596 | $23,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P694 | FRANKLN SWZLND | 966 | $23,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 1,961 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 942 | $23,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 2,491 | $23,000 | thousands by filing date | |
| FRANKLIN LIBERTY HIGH YIELD | 35473P629 | LIBERTY HI YLD | 1,005 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F130 | REAL ASSETS ETF | 1,178 | $23,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 4,592 | $23,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 49,861 | $23,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 36,131 | $23,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 583 | $23,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 12,552 | $23,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 3,005 | $23,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 4,371 | $23,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 12,896 | $23,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 BUFFER SEPTEMBER | 45782C664 | ETF | 1,042 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 882 | $23,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 9,823 | $23,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 3,200 | $23,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 5,305 | $23,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 3,891 | $23,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P456 | FUND | 659 | $23,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 2,995 | $23,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $23,000 | thousands by filing date | principal |
| CONTINENTAL MATLS CORP | 211615307 | COM | 2,575 | $23,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J692 | STRG EMERG ETF | 1,175 | $23,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 1,047 | $23,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 1,294 | $23,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 74,208 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 1,649 | $23,000 | thousands by filing date | |
| Gadsden Dynamic Multi Asset ETF | 26922A354 | ETF | 986 | $23,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K207 | UNIT 06/19/2025 | 2,232 | $23,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P205 | UNIT 09/01/2024 | 2,205 | $23,000 | thousands by filing date | |
| PROFICIENT ALPHA ACQUSTN COR COM | 74317h105 | COM | 2,310 | $23,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 11,387 | $22,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 300 | $22,000 | thousands by filing date | put |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,611 | $22,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 6,745 | $22,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 1,108 | $22,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 6,000 | $22,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 3,978 | $22,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,110 | $22,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 3,151 | $22,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 292 | $22,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 4,627 | $22,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A263 | ACQUIRERS FD | 1,123 | $22,000 | thousands by filing date | |
| RIVERNORTH FLEXIBLE MUN INCO | 76883H104 | COM | 1,100 | $22,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 1,501 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 506 | $22,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 41,495 | $22,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,671 | $22,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 7,714 | $22,000 | thousands by filing date | |
| TIDAL ETF TR | 886364207 | SOFI SELCT 500 | 2,432 | $22,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,130 | $22,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 1,656 | $22,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 2,029 | $22,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C208 | UNIT 09/01/2026 | 2,285 | $22,000 | thousands by filing date | |
| 8I ENTERPRISES ACQUISITION C | G2956M104 | SHS | 2,208 | $22,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP III | 31811A309 | UNIT 12/01/2023 | 2,167 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 951 | $22,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 2,286 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P830 | SHRT DUR MNG MUN | 1,038 | $21,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 2,142 | $21,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 2,355 | $21,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 1,819 | $21,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C516 | EMRGNG MKT JAN | 932 | $21,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 6,890 | $21,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C565 | US EQTY ULTRA BU | 871 | $21,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 1,011 | $21,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 500 | $21,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 500 | $21,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 754 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 778 | $21,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 6,708 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 1,085 | $21,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 11,428 | $21,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 5,000 | $21,000 | thousands by filing date | call |
| RED LION HOTELS CORP | 756764106 | COM | 14,073 | $21,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 657 | $21,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 5,086 | $21,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 54,889 | $21,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,920 | $21,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 20,000 | $21,000 | thousands by filing date | principal |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 10,353 | $21,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 33,898 | $21,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 2,014 | $21,000 | thousands by filing date | |
| InterPrivate Acquisition Corp | 46064A111 | INTERPRIVATE ACQUISITI -CW24 | 100,000 | $21,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 18,997 | $20,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 1,595 | $20,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505723 | ROBO GBL HLTCR | 837 | $20,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,319 | $20,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 1,123 | $20,000 | thousands by filing date | |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 904 | $20,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 50,000 | $20,000 | thousands by filing date | call |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 1,161 | $20,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 3,335 | $20,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,886 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 796 | $20,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 994 | $20,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 426 | $20,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 800 | $20,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 2,240 | $20,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,114 | $20,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 3,503 | $20,000 | thousands by filing date | |
| CBDMD INC | 12482W200 | 8% SER A CUM PFD | 3,683 | $20,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 800 | $20,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 3,364 | $20,000 | 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 |