13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-07-31, with 8,039 holding rows worth $236,811,225,000.
- Accession
- 0000950123-20-007389
- Filer
- CIK 1610520
- Filed
- 2020-07-31
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A combination report, 136,000 entries on the cover page, a total value of $236,811,225,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $236,811,226,000 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 |
|---|---|---|---|---|---|---|
| EKSO BIONICS HLDGS INC | 282644301 | COM | 2,561 | $22,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 2,545 | $22,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 497 | $22,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 16,904 | $22,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 1,679 | $22,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 158 | $22,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 875 | $22,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A507 | MDRTLY CNSRTIV | 1,648 | $22,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 35,564 | $22,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $22,000 | thousands by filing date | principal |
| Tottenham Acquisition I Limited | G8959N106 | SHS | 2,100 | $22,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 806 | $22,000 | thousands by filing date | |
| LEGEND BIOTECH CORP | 52490G102 | SPONSORED ADS | 500 | $21,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 1,460 | $21,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 5,739 | $21,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 895 | $21,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C714 | EMRGNG MKT JULY | 859 | $21,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 1,132 | $21,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,908 | $21,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 769 | $21,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 949 | $21,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 5,093 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 514 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y616 | CMN | 973 | $21,000 | thousands by filing date | |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 1,528 | $21,000 | thousands by filing date | |
| ELTEK LTD | M40184208 | SHS | 5,222 | $21,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 119,009 | $21,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 7,722 | $21,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 2,904 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y335 | MSCI PAKISTAN | 947 | $21,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P548 | FUND | 585 | $21,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 2,077 | $21,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 4,500 | $21,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 672 | $21,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 2,320 | $21,000 | thousands by filing date | |
| DATASEA INC | 238116206 | COM NEW | 10,009 | $21,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 912 | $21,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 7,306 | $21,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y651 | NORTH SQUA MCKE | 215 | $21,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 779 | $21,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 5,280 | $21,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 1,008 | $21,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L771 | TREND AGRD GWT | 787 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y590 | TRGTINM 2 ETF | 898 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 2,110 | $21,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A115 | *W EXP 08/01/202 | 12,645 | $21,000 | thousands by filing date | |
| B RILEY PRIN MERGER CORP II | 05600U205 | UNIT 99/99/9999 | 1,793 | $21,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 241 | $20,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 670 | $20,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 2,358 | $20,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 4,448 | $20,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 3,901 | $20,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 1,108 | $20,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 9,175 | $20,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 1,357 | $20,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 716 | $20,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 2,100 | $20,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 2,712 | $20,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 1,178 | $20,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 15,700 | $20,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061821 | CANNABIS ETF | 1,602 | $20,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 1,788 | $20,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 1,434 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 872 | $20,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 960 | $20,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 4,067 | $20,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 652 | $20,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 841 | $20,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 1,788 | $20,000 | thousands by filing date | |
| FORMA THERAPEUTICS HLDGS INC | 34633R104 | SHS | 437 | $20,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 1,010 | $20,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 55,394 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 2,500 | $20,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 24,300 | $20,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 952 | $20,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 14,951 | $20,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 486 | $20,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N106 | COM | 52,695 | $20,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 9,362 | $20,000 | thousands by filing date | |
| ROTH CH ACQUISITION I CO | 778675207 | UNIT 01/28/2025 | 2,029 | $20,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W303 | COM | 35,849 | $20,000 | thousands by filing date | |
| Vanguard U.S. Momentum Factor ETF | 921935508 | SHS | 218 | $19,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 2,825 | $19,000 | thousands by filing date | |
| KINGSOFT CLOUD HLDGS LTD ADS | 49639K101 | ADR | 590 | $19,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 200 | $19,000 | thousands by filing date | put |
| ETF SER SOLUTIONS | 26922A446 | OPUS SML CP VL | 846 | $19,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 1,511 | $19,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 4,256 | $19,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 2,566 | $19,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 536 | $19,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,220 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 396 | $19,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527109 | SHS | 10,382 | $19,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 837 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 358 | $19,000 | thousands by filing date | |
| LANTERN PHARMA INC | 51654W101 | COM | 1,533 | $19,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 686 | $19,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 5,347 | $19,000 | thousands by filing date | |
| ISHARES TR | 46435U333 | FOCUSD VAL FAC | 575 | $19,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 866 | $19,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 1,716 | $19,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 6,955 | $19,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,589 | $19,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 268 | $19,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 3,383 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430347 | MOTIF DATA DRIVN | 296 | $19,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 708 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H508 | MUNI ALOCATN ETF | 777 | $19,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R833 | WBI BULBEAR TR | 1,170 | $19,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $19,000 | thousands by filing date | principal |
| BANK OF MONTREAL | 063679831 | INVERSE ETN | 690 | $19,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 200 | $18,000 | thousands by filing date | put |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 1,802 | $18,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 749 | $18,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 1,421 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 407 | $18,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,160 | $18,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,716 | $18,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432342 | U S SM CP CORE | 843 | $18,000 | thousands by filing date | |
| PROCURE SPACE ETF | 74280R205 | ETF | 918 | $18,000 | thousands by filing date | |
| RIDENOW GROUP INC | 781386305 | COM CL B | 1,829 | $18,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H591 | CMN | 650 | $18,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 631 | $18,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 459 | $18,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 343 | $18,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,186 | $18,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 18,879 | $18,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 11,523 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P613 | FUND | 549 | $18,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 4,741 | $18,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 2,860 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 1,376 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 941 | $18,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 783 | $18,000 | thousands by filing date | |
| MERCURITY FINTECH HOLDING IN | 58936H109 | SPONSORED ADS | 7,704 | $18,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 2,500 | $18,000 | thousands by filing date | |
| AKERNA CORP | 00973W110 | WTS | 18,412 | $18,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 11,578 | $18,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L105 | COM CL A | 1,761 | $18,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 632 | $18,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 600 | $18,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 26,555 | $18,000 | thousands by filing date | |
| AMPLITUDE HEALTHCARE ACQUISITI | 03212a105 | COM | 1,800 | $18,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L122 | UNIT 99/99/9999 | 1,718 | $18,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP III | 31811A309 | UNIT 12/01/2023 | 1,463 | $18,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 659 | $18,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 1,000 | $17,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 100 | $17,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 21,565 | $17,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P678 | FTSE UNTD KGDM | 895 | $17,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 3,955 | $17,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 558 | $17,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 100 | $17,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 1,250 | $17,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C672 | US EQT ULTRA BF | 648 | $17,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 688 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 1,581 | $17,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,948 | $17,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,844 | $17,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P785 | FTSE GERMANY | 824 | $17,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,978 | $17,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P611 | CMN | 673 | $17,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 3,398 | $17,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 965 | $17,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 11,897 | $17,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 4,960 | $17,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 5,132 | $17,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,301 | $17,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 1,601 | $17,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 3,125 | $17,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 753 | $17,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W689 | CMN | 564 | $17,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 1,627 | $17,000 | thousands by filing date | |
| Global X Cannabis ETF | 37954Y426 | EX TRD EQ FD | 1,673 | $17,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A103 | COM | 1,642 | $17,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 1,653 | $17,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 3,143 | $17,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 27,619 | $17,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CO COM | 80821R109 | Stock | 1,681 | $17,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 6,415 | $17,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 2,392 | $17,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754205 | UNIT 99/99/9999 | 1,790 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 800 | $16,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C698 | US EQUT BUFR AUG | 623 | $16,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 7,354 | $16,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 1,306 | $16,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 706 | $16,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 1,325 | $16,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 6,314 | $16,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 876 | $16,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 3,088 | $16,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 867 | $16,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,000 | $16,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 3,089 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L108 | CMN | 784 | $16,000 | thousands by filing date | |
| LISTED FDS TR | 53656F789 | ROUN SPOR BE ETF | 1,026 | $16,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 1,773 | $16,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 415 | $16,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,408 | $16,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 530 | $16,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 2,257 | $16,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 3,959 | $16,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,391 | $16,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 4,000 | $16,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 6,879 | $16,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 39,606 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 286 | $16,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,047 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 646 | $16,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 332 | $16,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 11,374 | $16,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 20,000 | $16,000 | thousands by filing date | |
| EDESA BIOTECH INC | 27966L108 | COM | 3,200 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 827 | $16,000 | thousands by filing date | |
| BIT ORIGIN LTD | G21621100 | SHS | 12,586 | $16,000 | thousands by filing date | |
| SONNET BIOTHERAPEUTC HLDNG I | 83548R105 | COM | 4,481 | $16,000 | thousands by filing date | |
| NUZEE INC | 67073S208 | COM NEW | 1,636 | $16,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 1,072 | $16,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 1,042 | $16,000 | thousands by filing date | |
| GALILEO ACQUISITION CORP | G3770A128 | UNIT 99/99/9999 | 1,585 | $16,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 2,818 | $16,000 | thousands by filing date | |
| LIFESCI ACQUISITION CORP | 53228P208 | UNIT 03/31/2025 | 1,450 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B151 | ULTRSHORT COMM | 812 | $16,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 200 | $15,000 | thousands by filing date | put |
| AUDIOEYE INC | 050734201 | COM NEW | 1,505 | $15,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 736 | $15,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 459 | $15,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P827 | FTSE CANADA | 665 | $15,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 1,000 | $15,000 | thousands by filing date | call |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 176 | $15,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 2,975 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 349 | $15,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 12,953 | $15,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 4,030 | $15,000 | thousands by filing date | |
| RAND CAP CORP COM NEW | 752185207 | CEF | 1,364 | $15,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 6,909 | $15,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 2,244 | $15,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 247 | $15,000 | thousands by filing date | |
| MEDIACO HLDG INC | 58450D104 | CL A | 2,950 | $15,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 1,645 | $15,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 978 | $15,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 4,529 | $15,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 1,676 | $15,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,707 | $15,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,108 | $15,000 | thousands by filing date | |
| QNITY ELECTRONICS INC | 817323207 | COM | 2,500 | $15,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 10,530 | $15,000 | thousands by filing date | |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 2,336 | $15,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 18,018 | $15,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,960 | $15,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 5,567 | $15,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 1,399 | $15,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 7,298 | $15,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 594 | $15,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 10,514 | $15,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 8,521 | $15,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 6,640 | $15,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767801 | MSCI ALL CHINA | 559 | $15,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 9,388 | $15,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 3,259 | $15,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K116 | *W EXP 04/16/202 | 4,091 | $15,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E409 | COM | 4,316 | $15,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 30,669 | $15,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 12,000 | $15,000 | thousands by filing date | principal |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 1,156 | $15,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 776 | $15,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 21,232 | $15,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 18,714 | $15,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L113 | *W EXP 07/31/202 | 12,000 | $15,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K209 | UNIT 06/01/2025 | 1,500 | $15,000 | thousands by filing date | |
| INTERPRIVATE ACQUISITION COR | 46064A202 | UNIT 10/29/2024 | 1,429 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 350 | $15,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 1,135 | $15,000 | thousands by filing date | |
| TRANS WORLD ENTMT CORP | 89336Q209 | COM | 2,189 | $15,000 | thousands by filing date | |
| ENVISION SOLAR INTL INC | 29413Q201 | COM | 1,532 | $15,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 1,931 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 100 | $14,000 | thousands by filing date | call |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 500 | $14,000 | thousands by filing date | put |
| AMPLIFY ETF TR | 032108409 | CWP ENHANCED DIV | 494 | $14,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 183 | $14,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 2,609 | $14,000 | thousands by filing date | |
| OPEN LENDING CORP | 68373J104 | COM | 918 | $14,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 3,653 | $14,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092717 | INT VL FCT ETF | 762 | $14,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 3,218 | $14,000 | thousands by filing date | |
| MYOMO INC | 62857J201 | COM NEW | 3,689 | $14,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 14,000 | $14,000 | thousands by filing date | principal |
| FIRST TR EXCHNG TRADED FD VI | 33740F748 | FT VEST US EQT | 437 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 707 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L207 | CMN | 1,021 | $14,000 | thousands by filing date | |
| LISTED FDS TR | 53656F888 | SHARES SML CAP | 638 | $14,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 2,067 | $14,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 4,133 | $14,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061839 | TRINITY | 613 | $14,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 5,715 | $14,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 1,116 | $14,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 10,638 | $14,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 2,249 | $14,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 1,860 | $14,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 1,850 | $14,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LIMITED NEW SPONSRD ADR | 37185R307 | NEW SPONSRD ADR | 6,089 | $14,000 | thousands by filing date | |
| PGIM ETF TR | 69344A305 | QMA STRGC ALPH | 294 | $14,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 2,288 | $14,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 529 | $14,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 1,824 | $14,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 8,025 | $14,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 1,086 | $14,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C409 | COM | 29,783 | $14,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 3,812 | $14,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 27,091 | $14,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 449 | $14,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 110 | $14,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M109 | SHS | 1,415 | $14,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 1,768 | $14,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 2,766 | $14,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 2,964 | $14,000 | thousands by filing date | |
| YUNHONG INTL | G98882114 | UNIT 99/99/9999 | 1,425 | $14,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06747F119 | IPATH SER B TRSR | 352 | $14,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A123 | UNIT 08/01/2024 | 1,091 | $14,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 788 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E471 | FTSE US OVER | 213 | $14,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 17,163 | $13,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 3,022 | $13,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 11,000 | $13,000 | thousands by filing date | principal |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 376 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 1,326 | $13,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 3,292 | $13,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,304 | $13,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 1,178 | $13,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 5,870 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138J676 | BULLETSHS 2026 | 494 | $13,000 | thousands by filing date | |
| Hartford Schroders Tax-Aware Bond ETF | 41653L404 | ETF | 605 | $13,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 336 | $13,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONALMULTIFACTOR FUND | 97717Y774 | ETF | 574 | $13,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 4,000 | $13,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 1,307 | $13,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,688 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 199 | $13,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 1,745 | $13,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,114 | $13,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P637 | FTSE JAPAN HDG | 562 | $13,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 10,272 | $13,000 | thousands by filing date | |
| KALEYRA INC | 483379103 | COMMON EQUITY | 3,267 | $13,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 1,061 | $13,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 1,709 | $13,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 3,891 | $13,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 4,005 | $13,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 953 | $13,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 942 | $13,000 | thousands by filing date | |
| COMSTOCK INC | 205750300 | COM NEW | 13,921 | $13,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 1,252 | $13,000 | thousands by filing date | |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 25,145 | $13,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 5,248 | $13,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 1,232 | $13,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 477 | $13,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 2,314 | $13,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 16,179 | $13,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 45,906 | $13,000 | thousands by filing date | |
| CC NEUBERGER PRINCIPAL HLDNG | G1992Y114 | COM | 1,279 | $13,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 18,406 | $13,000 | thousands by filing date | |
| TIDAL ETF TR | 886364108 | AWARE ULTRASHR | 270 | $13,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 10,114 | $13,000 | thousands by filing date | |
| ANPAC BIO MED SCIENCE CO LTD | 03635R107 | cs | 2,445 | $13,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 275 | $13,000 | thousands by filing date | |
| AGF INVTS TR | 00110G887 | AGFIQ HEDGED DIV | 630 | $13,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 54,974 | $13,000 | thousands by filing date | |
| SOLIGENIX INC | 834223117 | *W EXP 11/14/202 | 26,232 | $13,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,030 | $13,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 12,123 | $13,000 | thousands by filing date | |
| OSPREY TECHNLGY AQUISTION CO | 68839R401 | UNIT 10/30/2024 | 1,275 | $13,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S124 | UNIT 99/99/9999 | 1,200 | $13,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085206 | UNIT 12/31/2026 | 1,260 | $13,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P205 | UNIT 09/01/2024 | 1,205 | $13,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 836 | $13,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E605 | MKT HLDGS I VELCTYSHS AUDUSD | 433 | $13,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 2,000 | $13,000 | thousands by filing date | principal |
| COLLIER CREEK HOLDINGS | G22707122 | UNIT 99/99/9999 | 931 | $13,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385204 | UNIT 12/31/2020 | 15,579 | $13,000 | thousands by filing date | |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 245 | $12,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 100 | $12,000 | thousands by filing date | put |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 13,845 | $12,000 | thousands by filing date | |
| ZENTALIS PHARMACEUTICALS INC | 98943L107 | COMMON STOCK | 257 | $12,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432326 | HIG DV STK ETF | 558 | $12,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 580 | $12,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF FEBRUARY | 45782C425 | ETF | 512 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B557 | SP500 EX TECH | 221 | $12,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 1,640 | $12,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 49,684 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R648 | SP KENSHO NEWEC | 322 | $12,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092535 | INTL MULTIFACTOR | 512 | $12,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 4,059 | $12,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 1,659 | $12,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P553 | US CORE BOND ETF | 439 | $12,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 7,116 | $12,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 2,101 | $12,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 200 | $12,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 1,780 | $12,000 | thousands by filing date | |
| XWELL INC COM NEW | 98420U703 | Stock | 2,883 | $12,000 | thousands by filing date | |
| HEADHUNTER GROUP PLC ADR | 42207L106 | COM | 520 | $12,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 1,071 | $12,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 10,000 | $12,000 | thousands by filing date | principal |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 12,000 | $12,000 | thousands by filing date | principal |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 13,000 | $12,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 10,000 | $12,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 10,000 | $12,000 | thousands by filing date | principal |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 9,000 | $12,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,820 | $12,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 17,000 | $12,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 11,196 | $12,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 307 | $12,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 2,433 | $12,000 | thousands by filing date | |
| 1895 BANCORP OF WIS INC COM | 28252W105 | Stock | 1,353 | $12,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 522 | $12,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 2,209 | $12,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 44,701 | $12,000 | thousands by filing date | |
| FSD PHARMA INC | 35954B206 | CL B SUB VTG | 3,028 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y517 | MSCI CHINA UTL | 898 | $12,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 945 | $12,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 9,085 | $12,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A495 | VOLSHARES LARG | 381 | $12,000 | thousands by filing date | |
| CBM BANCORP INC | 1248XT104 | COM | 943 | $12,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M106 | COM | 1,255 | $12,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 21,513 | $12,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,066 | $12,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 2,416 | $12,000 | thousands by filing date | |
| TUSCAN HOLDINGS CORP | 90069K203 | UNIT 99/99/9999 | 1,150 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 626 | $12,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641205 | UNIT 99/99/9999 | 1,118 | $12,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285201 | UNIT 12/30/2025 | 1,156 | $12,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E571 | VELCTYSHS EURUSD | 346 | $12,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E233 | VELCTYSHS USDCHF | 586 | $12,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J202 | SPONSORD ADS NEW | 2,453 | $12,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 100 | $11,000 | thousands by filing date | put |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 271 | $11,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 1,366 | $11,000 | thousands by filing date | |
| ADAPTHEALTH CORP | 00653Q102 | COMMON STOCK | 655 | $11,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 8,094 | $11,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 1,000 | $11,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 500 | $11,000 | thousands by filing date | put |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 8,389 | $11,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 630 | $11,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AMERICA | 47089W104 | Stock | 3,387 | $11,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C565 | US EQTY ULTRA BU | 415 | $11,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 1,043 | $11,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072208 | CMN | 300 | $11,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 4,232 | $11,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 572 | $11,000 | thousands by filing date | |
| GUINNESS ATKINSON FDS | 402031876 | SMART TRANSN ETF | 410 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 342 | $11,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 1,218 | $11,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E679 | DAILY TRANSN ETF | 1,033 | $11,000 | thousands by filing date | |
| LISTED FDS TR | 53656F870 | SHARES FOREIGN | 472 | $11,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 714 | $11,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 1,116 | $11,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 33,183 | $11,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 643 | $11,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 3,900 | $11,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 10,000 | $11,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 10,000 | $11,000 | thousands by filing date | principal |
| HMN FINL INC | 40424G108 | COM | 737 | $11,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 12,000 | $11,000 | thousands by filing date | principal |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 25,097 | $11,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 15,357 | $11,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 3,088 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 602 | $11,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 816 | $11,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 542 | $11,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W671 | CONSUMER STPLS | 408 | $11,000 | thousands by filing date | |
| SMART POWERR CORP | 168913309 | COM | 4,891 | $11,000 | thousands by filing date | |
| LIZHI INC | 53933L104 | ADS | 1,974 | $11,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 12,870 | $11,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 3,993 | $11,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 5,947 | $11,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 2,947 | $11,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 13,000 | $11,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 11,000 | $11,000 | thousands by filing date | principal |
| FORUM MERGER II CORP | 34986F111 | W EXP 09/30/202 | 2,287 | $11,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 6,242 | $11,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 506 | $11,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A370 | LONCAR CHINA BIO | 343 | $11,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J826 | MLTDCTR MEDIA | 398 | $11,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 20,735 | $11,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 2,143 | $11,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 285 | $11,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 3,398 | $11,000 | thousands by filing date | |
| PECK CO HLDGS INC | 705163103 | COM NEW | 2,967 | $11,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION | 03768F201 | UNIT 06/11/2026 | 1,001 | $11,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 625 | $11,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C208 | UNIT 09/01/2026 | 1,082 | $11,000 | thousands by filing date | |
| JUNIPER INDL HLDGS INC | 48205G205 | UNIT 11/13/2026 | 1,033 | $11,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 1,000 | $11,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 218 | $11,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CO | G3165V125 | *W EXP 10/10/202 | 2,015 | $11,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 5,743 | $10,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,149 | $10,000 | thousands by filing date | |
| ENERPAC TOOL GROUP CORP CL A COM | 292765104 | Stock | 581 | $10,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C433 | US EQTY BUFR FEB | 400 | $10,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R643 | ENHANCD SHORT | 100 | $10,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 2,895 | $10,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G772 | INFRAC ACT MLP | 585 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-007389 | this filing | 2020-07-31 | acceptance time not in the bulk data set |