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 |
|---|---|---|---|---|---|---|
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 823 | $9,000 | thousands by filing date | |
| PACER FDS TR | 69374H659 | CASH COWS ETF | 517 | $9,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 8,126 | $9,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 5,915 | $9,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 848 | $9,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 702 | $9,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y479 | ETFs | 416 | $9,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 750 | $9,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 50,404 | $9,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 54,017 | $9,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 546 | $9,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 6,000 | $9,000 | thousands by filing date | |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 3,584 | $9,000 | thousands by filing date | |
| AXE COMPUTE INC COM NEW | 74039M200 | Stock | 5,990 | $9,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 11,122 | $9,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 900 | $9,000 | thousands by filing date | call |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 11,056 | $9,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 3,644 | $9,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 861 | $9,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 1,392 | $9,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $9,000 | thousands by filing date | principal |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 2,313 | $9,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 348 | $9,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 9,399 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L469 | 2 YR TREAS BULL | 107 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 613 | $9,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 1,853 | $9,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 4,655 | $9,000 | thousands by filing date | |
| BROOGE ENERGY LTD | G1611B115 | *W EXP 12/20/202 | 11,132 | $9,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 7,097 | $9,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767801 | MSCI ALL CHINA | 390 | $9,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 575 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| BIO-PATH HLDGS INC | 09057N300 | COM | 2,097 | $9,000 | thousands by filing date | |
| Trovagene Inc | 897238606 | COM | 9,610 | $9,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 95 | $9,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 431 | $9,000 | thousands by filing date | |
| ARTARA THERAPEUTICS INC | 04300J107 | COM | 372 | $9,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 5,500 | $9,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 5,746 | $9,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 46,587 | $9,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G106 | ORD SHS | 1,060 | $9,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 16,376 | $9,000 | thousands by filing date | |
| FORUM MERGER II CORP | 34986F202 | UNIT 09/30/2025 | 893 | $9,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 20,264 | $9,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 830 | $9,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 779 | $9,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 19,496 | $9,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 387 | $9,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q803 | DIVERSIFIED ET | 472 | $9,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP II | 42087L119 | *W EXP 10/31/202 | 8,306 | $9,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 904 | $9,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 30,747 | $9,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 278 | $9,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 2,709 | $9,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 920 | $9,000 | thousands by filing date | |
| RA MED SYS INC | 74933X104 | COM | 8,244 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B136 | ULTRA COMM SER | 250 | $9,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J202 | SPONSORD ADS NEW | 6,311 | $9,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 619 | $9,000 | thousands by filing date | |
| DIAMOND EAGLE ACQUISITION CO | 25258L208 | UNIT 06/30/2026 | 666 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P301 | MUNI HI INCM ETF | 153 | $8,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 1,000 | $8,000 | thousands by filing date | call |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,262 | $8,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 15,052 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 121 | $8,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 2,020 | $8,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,100 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051267 | XTRACKERS LOW | 179 | $8,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 568 | $8,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 350 | $8,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,669 | $8,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 1,870 | $8,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 1,403 | $8,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 3,859 | $8,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 3,546 | $8,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 5,198 | $8,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,571 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A145 | PET CARE ETF | 203 | $8,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 716 | $8,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C201 | COMMON STOCK-FO | 5,704 | $8,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 834 | $8,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,060 | $8,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 9,904 | $8,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 17,736 | $8,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 1,000 | $8,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 11,237 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 337 | $8,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC | 28414H202 | CONV | 197 | $8,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 994 | $8,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 3,116 | $8,000 | thousands by filing date | |
| PINTEC TECHNOLOGY HLDGS LTD SPONSORED ADS | 72352G107 | ADR | 4,836 | $8,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 4,529 | $8,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $8,000 | thousands by filing date | principal |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 3,061 | $8,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 1,142 | $8,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 15,675 | $8,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L201 | SHS NEW | 1,359 | $8,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 4,569 | $8,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 4,832 | $8,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 11,200 | $8,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 1,100 | $8,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J204 | SPONSORED ADS NEW | 1,396 | $8,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 5,614 | $8,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q204 | ADR | 5,650 | $8,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 367 | $8,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 4,985 | $8,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 11,123 | $8,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 820 | $8,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 10,000 | $8,000 | thousands by filing date | principal |
| BORR DRILLING LTD | G1466R207 | SHS | 17,740 | $8,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q114 | *W EXP 04/17/202 | 8,182 | $8,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 3,882 | $8,000 | thousands by filing date | |
| RUHNN HLDG LTD | 781314109 | ADS | 1,844 | $8,000 | thousands by filing date | |
| XPRESSPA GROUP INC COM NEW | 98420U604 | Stock | 40,437 | $8,000 | thousands by filing date | |
| Fgl Holdings Wt Exp | g3402m110 | WT | 3,300 | $8,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 2,672 | $8,000 | thousands by filing date | |
| CANCER GENETICS INC | 13739U203 | COM NEW | 2,876 | $8,000 | thousands by filing date | |
| EDISON NATION INC | 28103E106 | COM | 4,268 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B339 | IQ SHORT DURAT | 319 | $8,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K743 | VELOCITYSHS LONG | 1,168 | $8,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 632 | $7,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 100 | $7,000 | thousands by filing date | put |
| ETF SER SOLUTIONS | 26922A420 | DEFIA QUANT ETF | 297 | $7,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 278 | $7,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 1,814 | $7,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 213 | $7,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 2,122 | $7,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 975 | $7,000 | thousands by filing date | |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 2,659 | $7,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 3,511 | $7,000 | thousands by filing date | |
| FIRST TRUST DOW JONES INTERNATIONAL INTERNET ETF | 33734X770 | ETF | 321 | $7,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 35,008 | $7,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AMERICA | 47089W104 | Stock | 2,966 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B557 | SP500 EX TECH | 144 | $7,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 11,088 | $7,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 1,023 | $7,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 447 | $7,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,357 | $7,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 4,223 | $7,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 3,154 | $7,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 4,515 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 382 | $7,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 5,726 | $7,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 1,052 | $7,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,801 | $7,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 413 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 380 | $7,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 2,278 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y418 | DORSEY WRIGHT | 324 | $7,000 | thousands by filing date | |
| LISTED FDS TR | 53656F854 | SHARES MUNI DB | 306 | $7,000 | thousands by filing date | |
| INDONESIA ENERGY CORP LTD | G4760X102 | ORD SHS | 1,908 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 461 | $7,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 590 | $7,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 4,474 | $7,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 320 | $7,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 2,100 | $7,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 1,110 | $7,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 1,625 | $7,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,870 | $7,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 1,337 | $7,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 25,356 | $7,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 2,472 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P472 | FUND | 205 | $7,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 5,685 | $7,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 5,407 | $7,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 448 | $7,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 602 | $7,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 8,639 | $7,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 630 | $7,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,390 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 553 | $7,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 1,895 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 301 | $7,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W601 | INVT GRAD VALU | 257 | $7,000 | thousands by filing date | |
| CINCINNATI BANCORP INC | 17187C102 | COM | 817 | $7,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 5,307 | $7,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 1,830 | $7,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 2,241 | $7,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 7,286 | $7,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 414 | $7,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 572 | $7,000 | thousands by filing date | |
| INTERPACE BIOSCIENCES INC | 46062X303 | COM | 1,390 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 808 | $7,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 4,740 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 233 | $7,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 35,046 | $7,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 5,925 | $7,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 593 | $7,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640309 | COM | 3,805 | $7,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 1,970 | $7,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 1,255 | $7,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 7,757 | $7,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W208 | UNIT 06/01/2025 | 704 | $7,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 1,444 | $7,000 | thousands by filing date | |
| CASTOR MARITIME INC | Y1146L109 | SHS | 10,188 | $7,000 | thousands by filing date | |
| MICROSECTORS FANG INDEX -3X INVERSE LEVERAGED ETN | 063679864 | ETF | 919 | $7,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 487 | $7,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 38,108 | $7,000 | thousands by filing date | |
| GIGCAPITAL2 INC | 375036209 | UNIT 02/28/2026 | 736 | $7,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 75 | $7,000 | thousands by filing date | |
| CIIG MERGER CORP | 12559C202 | UNIT 12/31/2026 | 690 | $7,000 | thousands by filing date | |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 165 | $6,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 7,881 | $6,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 825 | $6,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 2,488 | $6,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 200 | $6,000 | thousands by filing date | put |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 100 | $6,000 | thousands by filing date | put |
| EURODRY LTD | Y23508107 | COM | 1,361 | $6,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 15,750 | $6,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 300 | $6,000 | thousands by filing date | call |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 422 | $6,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,602 | $6,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 16,798 | $6,000 | thousands by filing date | |
| VIEMED HEALTHCARE INC | 92663R105 | COM | 1,283 | $6,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 453 | $6,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 2,816 | $6,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,032 | $6,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 649 | $6,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 3,041 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 403 | $6,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 3,273 | $6,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 6,468 | $6,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 6,164 | $6,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 2,846 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 92 | $6,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 6,551 | $6,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 3,297 | $6,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 1,835 | $6,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,109 | $6,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 990 | $6,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 1,527 | $6,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 275 | $6,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 280 | $6,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 1,352 | $6,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 3,470 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 243 | $6,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 7,191 | $6,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 7,630 | $6,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 12,650 | $6,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 4,600 | $6,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 9,234 | $6,000 | thousands by filing date | |
| AKAZOO SA COM NPV | L0164E108 | COMMON STOCK | 2,183 | $6,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 3,353 | $6,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 180 | $6,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 4,653 | $6,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M124 | COMMON | 3,669 | $6,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 5,703 | $6,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 15,352 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P579 | FTSE SOUTH AFR | 415 | $6,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 537 | $6,000 | thousands by filing date | |
| KRANESHARES TR | 500767819 | EMERGING MKTS | 280 | $6,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 1,000 | $6,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 133 | $6,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 9,000 | $6,000 | thousands by filing date | principal |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 1,511 | $6,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 27,830 | $6,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 7,716 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y590 | TRGTINM 2 ETF | 250 | $6,000 | thousands by filing date | |
| AURIS MEDICAL HOLDING LTD | G07025201 | SHS | 7,656 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 139 | $6,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A107 | SHS CL A | 600 | $6,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L209 | UNIT 03/04/2024 | 600 | $6,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076100 | COM CLASS A | 600 | $6,000 | thousands by filing date | |
| PERFORMANCE SHIPPING INC | Y67305105 | COM | 10,507 | $6,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 2,000 | $6,000 | thousands by filing date | principal |
| CREDIT SUISSE AG NASSAU BRH | 22542D282 | Cmn | 19 | $6,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F204 | COM NEW | 4,020 | $6,000 | thousands by filing date | |
| SUMMIT WIRELESS TECHNLGIES I | 86633R104 | COM | 17,601 | $6,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 420 | $5,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 2,734 | $5,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 500 | $5,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 20,171 | $5,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 500 | $5,000 | thousands by filing date | put |
| EHANG HLDGS LTD ADS | 26853E102 | ADR | 481 | $5,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 100 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D390 | ETRA BL CO MAT 5 | 478 | $5,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 118 | $5,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 27,828 | $5,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 2,000 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y392 | VDEO GAM ESPRT | 275 | $5,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 527 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 271 | $5,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 2,259 | $5,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,245 | $5,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 3,250 | $5,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 1,169 | $5,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 16,825 | $5,000 | thousands by filing date | |
| STRATEGY SHS | 86280R803 | DAY HAGAN SMART | 250 | $5,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF MARCH | 45782C375 | ETF | 200 | $5,000 | thousands by filing date | |
| PGIM ETF TR | 69344A206 | ACTV HY BD ETF | 142 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 242 | $5,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 272 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E495 | PURBTA 0 5 YR | 200 | $5,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,049 | $5,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,729 | $5,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 2,884 | $5,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 3,150 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 155 | $5,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,561 | $5,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E780 | CMN | 207 | $5,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,407 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R738 | CMN | 260 | $5,000 | thousands by filing date | |
| LISTED FDS TR | 53656F888 | SHARES SML CAP | 307 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78468R689 | S&P KENSHO SMART | 229 | $5,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 2,171 | $5,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,147 | $5,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 5,789 | $5,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 588 | $5,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 1,443 | $5,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 3,600 | $5,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 13,399 | $5,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 5,824 | $5,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 1,483 | $5,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 6,239 | $5,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 2,550 | $5,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 3,046 | $5,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 4,000 | $5,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,000 | $5,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 690 | $5,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 7,725 | $5,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 9,963 | $5,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 426 | $5,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,500 | $5,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 747 | $5,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 592 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 69 | $5,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 231 | $5,000 | thousands by filing date | |
| REVIVA PHARMACEUTCLS HLDGS INC COM | G8708A116 | Stock | 447 | $5,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L810 | WESTN ASET TTL | 211 | $5,000 | thousands by filing date | |
| COMSTOCK INC | 205750300 | COM NEW | 12,429 | $5,000 | thousands by filing date | |
| NANOVIBRONIX INC | 63008J108 | COM | 2,169 | $5,000 | thousands by filing date | |
| VERB TECHNOLOGY CO INC | 92337U104 | COM | 4,142 | $5,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 8,270 | $5,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 222 | $5,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505715 | NORTH SHOR GBL | 264 | $5,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 216 | $5,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 3,253 | $5,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 6,125 | $5,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 8,535 | $5,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R302 | SPONSORED ADS | 2,969 | $5,000 | thousands by filing date | |
| DATASEA INC | 238116206 | COM NEW | 2,604 | $5,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 1,403 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y733 | INDIA EX STATE | 299 | $5,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 2,285 | $5,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 1,655 | $5,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 6,629 | $5,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931602 | COM NEW | 24,015 | $5,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 4,282 | $5,000 | thousands by filing date | |
| THE9 LTD SPON ADS NEW | 88337K203 | ADR | 9,198 | $5,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 4,016 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A677 | NATIONWIDE ETF | 186 | $5,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 872 | $5,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 3,499 | $5,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643202 | UNIT 05/31/2024 | 500 | $5,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 9,877 | $5,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L113 | *W EXP 07/31/202 | 7,770 | $5,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884203 | UNIT 99/99/9999 | 545 | $5,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W303 | COM | 7,144 | $5,000 | thousands by filing date | |
| SOFTWARE ACQUISITION GROUP I | 83406B200 | UNIT 10/01/2026 | 535 | $5,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F302 | COM NEW | 5,138 | $5,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E647 | MKT HLDGS I VELCTYSHS USDAUD | 495 | $5,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 100 | $4,000 | thousands by filing date | call |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 410 | $4,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 100 | $4,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,268 | $4,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 13,119 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P827 | FTSE CANADA | 203 | $4,000 | thousands by filing date | |
| BIG SKY INDL INC | 911805307 | COM | 1,253 | $4,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 137 | $4,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 3,916 | $4,000 | thousands by filing date | |
| JPMORGAN BETABUILD INTERL EQY ETF | 46641Q373 | COM | 95 | $4,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 835 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 152 | $4,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 1,346 | $4,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 3,000 | $4,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 1,129 | $4,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 167 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P595 | SENIOR LOAN ETF | 176 | $4,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R306 | HIPS US HIGH INC | 375 | $4,000 | thousands by filing date | |
| ISHARES MSCI JAPAN VALUE ETF | 46435U374 | ETF | 202 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 268 | $4,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 7,880 | $4,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 2,931 | $4,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 414 | $4,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 1,224 | $4,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,955 | $4,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 12 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 170 | $4,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 179 | $4,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,693 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 183 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 72 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E281 | DAIL MS MEXI ETF | 171 | $4,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061839 | TRINITY | 210 | $4,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 1,734 | $4,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 4,129 | $4,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 2,564 | $4,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 4,535 | $4,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 4,512 | $4,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 1,287 | $4,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 1,678 | $4,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 1,834 | $4,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y201 | ADR NEW | 2,657 | $4,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 3,775 | $4,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 5,000 | $4,000 | thousands by filing date | principal |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 1,086 | $4,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 3,984 | $4,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 1,034 | $4,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 5,668 | $4,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 6,417 | $4,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,390 | $4,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 6,656 | $4,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 576 | $4,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 14,519 | $4,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 731 | $4,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 366 | $4,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 116 | $4,000 | thousands by filing date | |
| MDJM LTD | G59290109 | SHS | 1,747 | $4,000 | thousands by filing date | |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 1,930 | $4,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 5,799 | $4,000 | thousands by filing date | |
| HIGHEST PERFORMANCES HOLDINGS - ADR | 69373Y109 | COM | 650 | $4,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 2,683 | $4,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 11,699 | $4,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 11,129 | $4,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 11,432 | $4,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L118 | W EXP 03/04/202 | 13,458 | $4,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 6,564 | $4,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 13,986 | $4,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 204 | $4,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 1,017 | $4,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 18,896 | $4,000 | thousands by filing date | |
| FLJ GROUP LIMITED SPON ADS | 74738J102 | ADR | 301 | $4,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A200 | BLNCD MLTI AST | 370 | $4,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G117 | *W EXP 03/05/202 | 1,849 | $4,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 11,180 | $4,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CORP COM | 46186M506 | Stock | 2,438 | $4,000 | thousands by filing date | |
| ECOFIN DIGITAL PAYMENTS INFRASTRUCTURE FUND | 56167N548 | ETF | 177 | $4,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 8,475 | $4,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 6,156 | $4,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P503 | DELTASHS S&P | 99 | $4,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,913 | $4,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 4,087 | $4,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 14,061 | $4,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 4,792 | $4,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 6,742 | $4,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 2,000 | $4,000 | thousands by filing date | principal |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 5,393 | $4,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $4,000 | thousands by filing date | principal |
| CIIG MERGER CORP | 12559C111 | *W EXP 12/31/202 | 7,950 | $4,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS I | 88165N204 | COM NEW | 2,925 | $4,000 | thousands by filing date | |
| SHINECO INC COM NEW | 824567200 | Stock | 8,839 | $4,000 | thousands by filing date | |
| LM FDG AMER INC COM NEW | 502074305 | Stock | 7,045 | $4,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 14,048 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06747F119 | IPATH SER B TRSR | 100 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430321 | FINANCE REIMAGI | 76 | $4,000 | thousands by filing date | |
| DEACW US 30 Jun 26 C11.5 (Diamond Eagle Acquisitio | 25258L117 | W EXP 06/30/202 | 1,490 | $4,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 1,974 | $4,000 | thousands by filing date | |
| LISTED FD TR | 53656F607 | COM | 142 | $3,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 702 | $3,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 3,470 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 126 | $3,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 142 | $3,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 249 | $3,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 157 | $3,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 1,578 | $3,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 150 | $3,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 3,913 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X788 | IPOX EUROPE EQ | 141 | $3,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 410 | $3,000 | thousands by filing date | |
| FRANKLIN FTSE LATIN AMERICA ETF | 35473P561 | ETF | 183 | $3,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 378 | $3,000 | thousands by filing date | |
| AMERICAN RES CORP | 02927U208 | CL A | 3,244 | $3,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 488 | $3,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 843 | $3,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 582 | $3,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 570 | $3,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 600 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 141 | $3,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 2,978 | $3,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 677 | $3,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072505 | DIVERSIFIED MU | 57 | $3,000 | thousands by filing date | |
| NEPHROS INC | 640671400 | COM | 492 | $3,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 1,409 | $3,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 2,700 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y725 | MORTGAGE PLUS BD | 57 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $3,000 | thousands by filing date | principal |
| FULL HSE RESORTS INC | 359678109 | COM | 2,500 | $3,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 222 | $3,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B201 | JR GOLD MINERS E | 150 | $3,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 692 | $3,000 | thousands by filing date | |
| BRAINSWAY LTD | 10501L106 | CMN | 401 | $3,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 1,152 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092543 | CMN | 132 | $3,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 556 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 47 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R779 | EMERGING MKTS | 69 | $3,000 | 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 |