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 |
|---|---|---|---|---|---|---|
| AESTHETIC MED INTL HLDG GR L | 00809M104 | ADR | 2,209 | $20,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 43,384 | $20,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 12,836 | $20,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 19,302 | $20,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 2,186 | $20,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 12,978 | $20,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 25,000 | $20,000 | thousands by filing date | principal |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 2,754 | $20,000 | thousands by filing date | |
| ENTREPRENEURSHARES SERIES TR | 293828802 | ERSHARES ENT | 1,202 | $20,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 76,136 | $20,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 16,970 | $20,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 981 | $20,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 62,067 | $20,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRA | 459506309 | UNIT 09/15/2021 | 525 | $20,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A495 | VOLSHARES LARG | 857 | $20,000 | thousands by filing date | |
| INFUSIVE US TR | 45687D106 | COMPUNDING EQT | 908 | $20,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 1,901 | $20,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N206 | UNIT 04/30/2025 | 1,970 | $20,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K208 | Cmn | 886 | $20,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 941 | $19,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 2,596 | $19,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 2,135 | $19,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 197 | $19,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 3,233 | $19,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 837 | $19,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 159,138 | $19,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 1,030 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P863 | CALIF MUN INCM | 373 | $19,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092535 | INTL MULTIFACTOR | 895 | $19,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,163 | $19,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 5,415 | $19,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 4,432 | $19,000 | thousands by filing date | |
| KALEYRA INC | 483379103 | COMMON EQUITY | 2,600 | $19,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 2,024 | $19,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 3,202 | $19,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 2,568 | $19,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061821 | CANNABIS ETF | 1,798 | $19,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P464 | FUND | 352 | $19,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 8,585 | $19,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,589 | $19,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 1,382 | $19,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 762 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 1,034 | $19,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 11,238 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E877 | DLY JR GOLD 3X | 6,965 | $19,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A103 | COM | 1,946 | $19,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 17,027 | $19,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 1,011 | $19,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L122 | UNIT 99/99/9999 | 1,949 | $19,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R200 | UNIT 01/07/2019 | 1,900 | $19,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH X | 22539T399 | COM | 1,682 | $19,000 | thousands by filing date | |
| SPDR SER TR | 78468R119 | S&P TECH H | 320 | $19,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 796 | $18,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 1,008 | $18,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C573 | US EQTY PWR BUF | 765 | $18,000 | thousands by filing date | |
| FRANCHISE GROUP INC | 35180X105 | COM | 2,039 | $18,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,793 | $18,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N691 | VICTORYSHS US | 656 | $18,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 19,551 | $18,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 14,068 | $18,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 1,098 | $18,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 1,192 | $18,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 1,027 | $18,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 8,336 | $18,000 | thousands by filing date | |
| Taronis Technologies Inc Com New | 876214206 | Equity | 115,310 | $18,000 | thousands by filing date | |
| PORTFOLIOPLUS S&P 500 ETF | 25490K109 | ETF | 569 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y558 | MSCI CHINA CON | 880 | $18,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 808 | $18,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 2,000 | $18,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 15,833 | $18,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 75,301 | $18,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 938 | $18,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372108 | UNIT 08/29/2024 | 1,716 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 572 | $18,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430297 | HUMAN EVOLUTION | 370 | $18,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 3,730 | $18,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754205 | UNIT 99/99/9999 | 1,790 | $18,000 | thousands by filing date | |
| TOUGHBUILT INDS INC | 89157G207 | Cmn | 126,368 | $18,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A446 | OPUS SML CP VL | 887 | $17,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 500 | $17,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 620 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 867 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 542 | $17,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 2,152 | $17,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1,500 | $17,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 5,118 | $17,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,000 | $17,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 698 | $17,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 5,683 | $17,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE MOMENTUM ET | 02072L300 | ETF | 832 | $17,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 2,867 | $17,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 3,091 | $17,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 6,915 | $17,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 6,673 | $17,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 1,519 | $17,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 4,202 | $17,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 29,337 | $17,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 385 | $17,000 | thousands by filing date | |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 2,013 | $17,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 18,910 | $17,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 23,044 | $17,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P548 | FUND | 585 | $17,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 15,144 | $17,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 79,507 | $17,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 911 | $17,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,183 | $17,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 968 | $17,000 | thousands by filing date | |
| AMERICAN CUSTOMER SATISFACTION ETF | 26922A776 | ETF | 593 | $17,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 686 | $17,000 | thousands by filing date | |
| FANGDD NETWORK GROUP LTD | 30712L109 | SPONSORED ADS | 1,213 | $17,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 1,747 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 418 | $17,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K100 | COM CL A | 1,700 | $17,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085206 | UNIT 12/31/2026 | 1,660 | $17,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C203 | UNIT 99/99/9999 | 1,663 | $17,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 810 | $17,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788206 | UNIT 01/18/2023 | 1,804 | $17,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 6,449 | $17,000 | thousands by filing date | |
| ACT II GLOBAL ACQUISITIO-A | G0080J104 | CL A SHS | 1,729 | $17,000 | thousands by filing date | |
| ABRDN ETFS | 003261104 | BBRG ALL COMD K1 | 926 | $16,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 1,021 | $16,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 2,584 | $16,000 | thousands by filing date | |
| O-I GLASS INC | 67098H104 | COM | 2,210 | $16,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 176 | $16,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G109 | CL A | 1,993 | $16,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 18,342 | $16,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C599 | US SML CP PWR B | 772 | $16,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,426 | $16,000 | thousands by filing date | |
| RHINEBECK BANCORP INC | 762093102 | COMMON STOCK | 2,500 | $16,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 8,882 | $16,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 679 | $16,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,018 | $16,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 4,000 | $16,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H591 | CMN | 671 | $16,000 | thousands by filing date | |
| PACER FDS TR | 69374H402 | CMN | 724 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 1,213 | $16,000 | thousands by filing date | |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 1,523 | $16,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 2,991 | $16,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 470 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P645 | FRANKLIN FTSE | 842 | $16,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 661 | $16,000 | thousands by filing date | |
| LISTED FDS TR | 53656F870 | SHARES FOREIGN | 754 | $16,000 | thousands by filing date | |
| GULF RES INC | 40251W408 | COM | 4,820 | $16,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 3,154 | $16,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 17,667 | $16,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 570 | $16,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 65,737 | $16,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 5,228 | $16,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E248 | S&P INTL DEV | 744 | $16,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 2,756 | $16,000 | thousands by filing date | |
| 1895 BANCORP OF WIS INC COM | 28252W105 | Stock | 2,077 | $16,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 4,543 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 139 | $16,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 5,550 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y461 | DORSY ALPH EQL | 888 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H508 | MUNI ALOCATN ETF | 690 | $16,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 39,508 | $16,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $16,000 | thousands by filing date | principal |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 3,629 | $16,000 | thousands by filing date | |
| TUSCAN HOLDINGS CORP | 90069K203 | UNIT 99/99/9999 | 1,550 | $16,000 | thousands by filing date | |
| VISLINK TECHNOLOGIES INC COM NEW | 92836Y201 | Stock | 93,876 | $16,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 1,174 | $16,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E159 | VELCTYSHS USDGBP | 1,114 | $16,000 | thousands by filing date | |
| TENZING ACQUISITION CORP | G8708A124 | UNIT 08/24/2024 | 1,609 | $16,000 | thousands by filing date | |
| CHINA RECYCLING ENERGY CORP | 168913200 | COM NEW | 50,250 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 745 | $16,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 2,941 | $15,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 4,254 | $15,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 40,484 | $15,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 2,151 | $15,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,621 | $15,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P884 | US MID CP MLTFCT | 600 | $15,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 11,704 | $15,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 BUFFER ETF JUNE | 45782C755 | ETF | 615 | $15,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 1,997 | $15,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 8,038 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 1,313 | $15,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 893 | $15,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,972 | $15,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 6,995 | $15,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,115 | $15,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 3,622 | $15,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 5,954 | $15,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 16,000 | $15,000 | thousands by filing date | principal |
| ASANKO GOLD INC | 04341Y105 | COM | 18,586 | $15,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 4,064 | $15,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 1,969 | $15,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 4,180 | $15,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 8,453 | $15,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 690 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 2,013 | $15,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,178 | $15,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 2,112 | $15,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 27,235 | $15,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 15,146 | $15,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 26,459 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 794 | $15,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 10,355 | $15,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 4,229 | $15,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CL A ORD | 30734W109 | COM | 1,517 | $15,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,423 | $15,000 | thousands by filing date | |
| GALILEO ACQUISITION CORP | G3770A128 | UNIT 99/99/9999 | 1,585 | $15,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 1,498 | $15,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285201 | UNIT 12/30/2025 | 1,466 | $15,000 | thousands by filing date | |
| LIFESCI ACQUISITION CORP | 53228P208 | UNIT 03/31/2025 | 1,504 | $15,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 1,347 | $15,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 1,075 | $15,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 1,016 | $15,000 | thousands by filing date | |
| WEALTHBRIDGE ACQUISITION LTD | G4887W102 | UNIT 99/99/9999 | 1,610 | $15,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 573 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 254 | $14,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 7,587 | $14,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 3,855 | $14,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 4,239 | $14,000 | thousands by filing date | |
| BEAM THERAPEUTICS INC | 07373V105 | COM | 800 | $14,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 706 | $14,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 973 | $14,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 944 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 1,323 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 1,015 | $14,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 836 | $14,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 13,896 | $14,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 3,558 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R696 | CMN | 790 | $14,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 804 | $14,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 4,261 | $14,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 3,271 | $14,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G798 | VIRTUS PVT CR | 968 | $14,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 2,294 | $14,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,409 | $14,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 21,825 | $14,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 5,769 | $14,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 5,085 | $14,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 4,499 | $14,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 10,992 | $14,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 7,617 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 573 | $14,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P777 | FTSE HONG KONG | 692 | $14,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 4,500 | $14,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 5,717 | $14,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 379 | $14,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 10,171 | $14,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 11,519 | $14,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 9,386 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 847 | $14,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 3,262 | $14,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085115 | *W EXP 12/31/202 | 25,000 | $14,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 15,000 | $14,000 | thousands by filing date | principal |
| TRANSAMERICA ETF TR | 89349P404 | mc | 325 | $14,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 808 | $14,000 | thousands by filing date | |
| CHPMW US 22 Nov 24 C11.5 | 12558Y114 | *W EXP 11/22/202 | 25,000 | $14,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC COM | 40145Q203 | Stock | 29,822 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 389 | $14,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L204 | UNIT 99/99/9999 | 1,376 | $14,000 | thousands by filing date | |
| SCIENJOY HOLDING CORP SHS | G4887W110 | Common Stock | 1,325 | $14,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K209 | UNIT 06/01/2025 | 1,400 | $14,000 | thousands by filing date | |
| 8I ENTERPRISES ACQUISITIN CO | G2956M138 | UNIT 99/99/9999 | 1,504 | $14,000 | thousands by filing date | |
| PROFICIENT ALPHA ACQUSTN COR | 74317H204 | UNIT 04/30/2026 | 1,310 | $14,000 | thousands by filing date | |
| ENERPAC TOOL GROUP CORP CL A COM | 292765104 | Stock | 811 | $13,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 100 | $13,000 | thousands by filing date | put |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 927 | $13,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 197 | $13,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,642 | $13,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 4,577 | $13,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C615 | GRWT100 PWR BUF | 438 | $13,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 604 | $13,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 3,321 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 734 | $13,000 | thousands by filing date | |
| MYOMO INC | 62857J201 | COM NEW | 3,502 | $13,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 485 | $13,000 | thousands by filing date | |
| KRANESHARES QUADRATIC INTEREST RATE VOLATILITY AND INFLATION HEDGE ETF | 500767736 | ETF | 509 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 298 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E872 | CMN | 732 | $13,000 | thousands by filing date | |
| VICTORYSHARES U S | 92647N576 | MF Closed and MF Open | 349 | $13,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 2,500 | $13,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L877 | ROYCE QUANT SML | 733 | $13,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P850 | MUNICIPAL GRN BD | 500 | $13,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 4,604 | $13,000 | thousands by filing date | |
| DBX ETF TR | 233051218 | XTRACKERS MSCI | 632 | $13,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 29,539 | $13,000 | thousands by filing date | |
| QNITY ELECTRONICS INC | 817323207 | COM | 2,500 | $13,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 1,118 | $13,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 28,637 | $13,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 2,403 | $13,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 959 | $13,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 14,672 | $13,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 1,584 | $13,000 | thousands by filing date | |
| PGIM ETF TR | 69344A305 | QMA STRGC ALPH | 303 | $13,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 14,384 | $13,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 560 | $13,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 5,287 | $13,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 2,755 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E479 | PURBTA FTSE EM | 686 | $13,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576200 | CL B | 1,442 | $13,000 | thousands by filing date | |
| CBM BANCORP INC | 1248XT104 | COM | 1,104 | $13,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 597 | $13,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784114 | UNIT 99/99/9999 | 1,200 | $13,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q106 | CL A | 1,273 | $13,000 | thousands by filing date | |
| AMPLITUDE HEALTHCARE ACQUISITI | 03212a105 | COM | 1,400 | $13,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S124 | UNIT 99/99/9999 | 1,300 | $13,000 | thousands by filing date | |
| ARROW INVTS TR DOGS OF THE | 042765693 | CEF | 434 | $13,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 574 | $13,000 | thousands by filing date | |
| IMMUNOVANT INC | 45258J201 | UNIT 12/18/2024 | 772 | $13,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y706 | ULTRA BLOOMBERG | 3,080 | $13,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 697 | $12,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 800 | $12,000 | thousands by filing date | call |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,495 | $12,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q399 | BETABUILDRS US | 269 | $12,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 770 | $12,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 641 | $12,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 2,779 | $12,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 918 | $12,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 854 | $12,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C672 | US EQT ULTRA BF | 518 | $12,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 1,944 | $12,000 | thousands by filing date | |
| LISTED FDS TR | 53656F805 | SHARES LAG CAP | 556 | $12,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 6,625 | $12,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R603 | CMN | 490 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 445 | $12,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 199 | $12,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P637 | FTSE JAPAN HDG | 562 | $12,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,666 | $12,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 7,443 | $12,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 1,071 | $12,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 265 | $12,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,398 | $12,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 10,460 | $12,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K862 | COM | 3,175 | $12,000 | thousands by filing date | |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 1,229 | $12,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 2,500 | $12,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,506 | $12,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 3,683 | $12,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,600 | $12,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,816 | $12,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 2,424 | $12,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 1,319 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 522 | $12,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 32,630 | $12,000 | thousands by filing date | |
| NULL | 032108854 | NULL | 1,399 | $12,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 3,500 | $12,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 12,593 | $12,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 6,228 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y517 | MSCI CHINA UTL | 901 | $12,000 | thousands by filing date | |
| ANPAC BIO MED SCIENCE CO LTD | 03635R107 | cs | 1,561 | $12,000 | thousands by filing date | |
| STANDARD DIVERSIFIED INC | 85336L109 | COM CL A | 1,096 | $12,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076209 | UNIT 03/12/2025 | 1,219 | $12,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J684 | BULLSHS 21 USD | 480 | $12,000 | thousands by filing date | |
| OSPREY TECHNLGY AQUISTION CO | 68839R401 | UNIT 10/30/2024 | 1,275 | $12,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G205 | UNIT 99/99/9999 | 1,155 | $12,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 575 | $11,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 2,190 | $11,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F771 | FT VEST US | 393 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 600 | $11,000 | thousands by filing date | put |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 4,781 | $11,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L607 | FREEDOM 100 EM | 587 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 719 | $11,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 2,500 | $11,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 2,141 | $11,000 | thousands by filing date | |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 237 | $11,000 | thousands by filing date | |
| CERIDIAN HCM HLDG INC | 15677J108 | COM | 219 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 864 | $11,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 1,100 | $11,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 690 | $11,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,200 | $11,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 520 | $11,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 643 | $11,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 6,300 | $11,000 | thousands by filing date | call |
| CROWN CRAFTS INC | 228309100 | COM | 2,410 | $11,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q105 | SIMP AF WORL ETF | 648 | $11,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 952 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 96 | $11,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 4,000 | $11,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 535 | $11,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 3,220 | $11,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,126 | $11,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 501 | $11,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,176 | $11,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 4,745 | $11,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X309 | COM | 34,821 | $11,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 20,948 | $11,000 | thousands by filing date | |
| GREENROSE HOLDING CO INC/THE | 395392202 | COM | 1,132 | $11,000 | thousands by filing date | |
| PRIMO WATER CORPORATION | 74167P108 | COM | 1,171 | $11,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 13,072 | $11,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 339 | $11,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,391 | $11,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 3,796 | $11,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 8,599 | $11,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 5,258 | $11,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 8,710 | $11,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 815 | $11,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 3,904 | $11,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 1,297 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 230 | $11,000 | thousands by filing date | |
| CAN FITE BIOPHARMA LTD | 13471N201 | SPONSORED ADS | 8,589 | $11,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 1,276 | $11,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 51,054 | $11,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 769 | $11,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 7,204 | $11,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W689 | CMN | 418 | $11,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 40,888 | $11,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 6,674 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 12,000 | $11,000 | thousands by filing date | principal |
| MSB FINL CORP NEW | 55352L101 | COM | 915 | $11,000 | thousands by filing date | |
| DFP HEALTHCARE ACQUISITNS CO | 23343Q209 | UNIT 03/31/2025 | 1,107 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 464 | $11,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130123 | UNIT 03/01/2024 | 1,168 | $11,000 | thousands by filing date | |
| CHINA SXT PHARMACEUTICALS IN | G2161P108 | ORD SHS | 20,000 | $11,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641205 | UNIT 99/99/9999 | 1,118 | $11,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872208 | UNIT 99/99/9999 | 1,071 | $11,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 900 | $11,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A123 | UNIT 08/01/2024 | 1,091 | $11,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 471 | $11,000 | thousands by filing date | |
| ACT II GLOBAL ACQUISITION CO | G0080J112 | UNIT 04/30/2026 | 1,100 | $11,000 | thousands by filing date | |
| GFL ENVIRONMENTAL INC SUB VTG SHS | 36168Q104 | Stock | 635 | $10,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 682 | $10,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 100 | $10,000 | thousands by filing date | put |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 1,495 | $10,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 1,899 | $10,000 | thousands by filing date | |
| DESIGNER BRANDS INC | 250565108 | CL A | 2,058 | $10,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 370 | $10,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 4,246 | $10,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 620 | $10,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 14,583 | $10,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 4,376 | $10,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F763 | FT VEST US EQT | 382 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 397 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 375 | $10,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 3,809 | $10,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R108 | BBG COMMD K 1 | 559 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E661 | CMN | 1,005 | $10,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 2,862 | $10,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 497 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 427 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051192 | XTKR EMGRIN MKTS | 468 | $10,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 3,822 | $10,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 818 | $10,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 388 | $10,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 29,233 | $10,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 4,541 | $10,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 889 | $10,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 1,569 | $10,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 492 | $10,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 1,005 | $10,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 400 | $10,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 5,155 | $10,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 7,326 | $10,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 38,473 | $10,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 9,502 | $10,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 4,593 | $10,000 | thousands by filing date | |
| LIMINAL BIOSCIENCES INC | 53272L103 | COM | 1,487 | $10,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 1,113 | $10,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 648 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E133 | DAILY FINL BEAR | 275 | $10,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 894 | $10,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 8,010 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 627 | $10,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 4,435 | $10,000 | thousands by filing date | |
| BOQI INTL MED INC | 099501108 | COM | 3,942 | $10,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 19,678 | $10,000 | thousands by filing date | |
| AGF INVTS TR | 00110G887 | AGFIQ HEDGED DIV | 522 | $10,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $10,000 | thousands by filing date | principal |
| NESCO HLDGS INC | 64083J104 | COM | 3,011 | $10,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 50,247 | $10,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 2,177 | $10,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 4,602 | $10,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G103 | COM | 1,000 | $10,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION | 03768F201 | UNIT 06/11/2026 | 1,009 | $10,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 1,000 | $10,000 | thousands by filing date | |
| INSURANCE ACQUISITION CORP | 457867109 | CL A | 1,000 | $10,000 | thousands by filing date | |
| GRAF INDUSTRIAL CORP | 384278206 | COM | 947 | $10,000 | thousands by filing date | |
| VIRGIN GALACTIC HOLDINGS INC | 92766K205 | UNIT 99/99/9999 | 590 | $10,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 281 | $9,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 492 | $9,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 300 | $9,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 100 | $9,000 | thousands by filing date | put |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 422 | $9,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 500 | $9,000 | thousands by filing date | put |
| ISHARES TR | 46435U218 | ESG MSCI LEADR | 200 | $9,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 813 | $9,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q670 | CORE PLUS BD ETF | 166 | $9,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 2,275 | $9,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 1,227 | $9,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 254 | $9,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 4,836 | $9,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 1,452 | $9,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 595 | $9,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 696 | $9,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 26,257 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 551 | $9,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092717 | INT VL FCT ETF | 522 | $9,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 330 | $9,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 2,984 | $9,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 2,385 | $9,000 | thousands by filing date | |
| PACER US CASH COWS GROWTH ETF | 69374H667 | ETF | 467 | $9,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 8,897 | $9,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 1,764 | $9,000 | thousands by filing date | |
| INVESCO INVESTMENT GRADE DEFENSIVE ETF | 46139W502 | ETF | 333 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 438 | $9,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 852 | $9,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 3,351 | $9,000 | 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 |