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 |
|---|---|---|---|---|---|---|
| TECNOGLASS INC | G87264100 | ORD SHS | 1,781 | $10,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 3,650 | $10,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 1,321 | $10,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,200 | $10,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,100 | $10,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 401 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 400 | $10,000 | thousands by filing date | |
| LISTED FDS TR | 53656F805 | SHARES LAG CAP | 381 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 362 | $10,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 1,209 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 537 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 435 | $10,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 4,466 | $10,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 442 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 406 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 416 | $10,000 | thousands by filing date | |
| BNY MELLON ETF TRUST | 09661T800 | HIGH YIELD ETF | 200 | $10,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 3,230 | $10,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,008 | $10,000 | thousands by filing date | |
| WAH FU EDUCATION GROUP LIMIT | G94184101 | SHS | 2,385 | $10,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 3,021 | $10,000 | thousands by filing date | |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 3,297 | $10,000 | thousands by filing date | |
| TIDAL TRUST I | 886364306 | SOFI NEXT 500 | 1,004 | $10,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 6,925 | $10,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 11,000 | $10,000 | thousands by filing date | principal |
| AYRO INC | 054748108 | COM | 3,594 | $10,000 | thousands by filing date | |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 1,004 | $10,000 | thousands by filing date | |
| 8X8 INC NEW | 282914AB6 | BOND | 11,000 | $10,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06746P472 | FUND | 236 | $10,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 405 | $10,000 | thousands by filing date | |
| BIOMX INC | 09090D103 | COM | 1,886 | $10,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 5,414 | $10,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $10,000 | thousands by filing date | principal |
| FIRST TRUST | 33733G109 | COM BEN INTR | 3,148 | $10,000 | thousands by filing date | |
| TIMBER PHARMACEUTICALS INC | 887080109 | COM | 4,683 | $10,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 6,881 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 410 | $10,000 | thousands by filing date | |
| HIGHEST PERFORMANCES HOLDINGS - ADR | 69373Y109 | COM | 1,453 | $10,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 14,050 | $10,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 8,180 | $10,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,112 | $10,000 | thousands by filing date | |
| Benitec Biopharma, Inc. | 08205P100 | common | 1,302 | $10,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 4,936 | $10,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 173 | $10,000 | thousands by filing date | |
| ZHONGCHAO INC | G9897X107 | CL A | 4,772 | $10,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 1,332 | $10,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 2,620 | $10,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D108 | SHS | 1,064 | $10,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A408 | mc | 723 | $10,000 | thousands by filing date | |
| TRXADE HEALTH INC | 89846A207 | COM NEW | 1,724 | $10,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 4,134 | $10,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP II | 42087L119 | *W EXP 10/31/202 | 6,706 | $10,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K100 | COM CL A | 953 | $10,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G103 | COM | 1,000 | $10,000 | thousands by filing date | |
| SENECA BIOPHARMA INC | 81689B103 | COM | 14,498 | $10,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130123 | UNIT 03/01/2024 | 968 | $10,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R101 | CLASS A | 1,006 | $10,000 | thousands by filing date | |
| CIIG MERGER CORP | 12559C202 | UNIT 12/31/2026 | 932 | $10,000 | thousands by filing date | |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 2,493 | $9,000 | thousands by filing date | |
| SELECTQUOTE INC | 816307300 | COM | 350 | $9,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 3,913 | $9,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 170 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 121 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y392 | VDEO GAM ESPRT | 396 | $9,000 | thousands by filing date | |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 396 | $9,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 1,060 | $9,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 4,596 | $9,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 3,048 | $9,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 652 | $9,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 1,628 | $9,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 3,279 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 285 | $9,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 1,138 | $9,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W580 | INFLATION HEDG | 333 | $9,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 447 | $9,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 16,697 | $9,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 2,022 | $9,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 315 | $9,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 10,524 | $9,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,147 | $9,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 9,218 | $9,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 540 | $9,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,507 | $9,000 | thousands by filing date | |
| INDONESIA ENERGY CORP LTD | G4760X102 | ORD SHS | 2,004 | $9,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 219 | $9,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 20,045 | $9,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 1,349 | $9,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 1,475 | $9,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 738 | $9,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 399 | $9,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 6,402 | $9,000 | thousands by filing date | |
| PROSHARES ULTRASHORT TECHNOLOGY | 74347G101 | ETF | 1,488 | $9,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 2,661 | $9,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 9,000 | $9,000 | thousands by filing date | principal |
| BK Technologies Corp. | 05587G104 | COM | 2,506 | $9,000 | thousands by filing date | |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 9,000 | $9,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 6,000 | $9,000 | thousands by filing date | principal |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 8,000 | $9,000 | thousands by filing date | principal |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 7,774 | $9,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 6,981 | $9,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,797 | $9,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 774 | $9,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 366 | $9,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 3,380 | $9,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,724 | $9,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 6,578 | $9,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 19,302 | $9,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 7,011 | $9,000 | thousands by filing date | |
| SYNTAX ETF TR | 87166N106 | STRATIFD LRG CAP | 200 | $9,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 2,139 | $9,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 4,321 | $9,000 | thousands by filing date | |
| CHINA LIBERAL ED HLDGS LTD | G2161Y109 | ORD | 1,791 | $9,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 401 | $9,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 346 | $9,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F607 | EQUITYCOMPASS | 531 | $9,000 | thousands by filing date | |
| FARMMI INC SHS NEW | G33277107 | Stock | 13,425 | $9,000 | thousands by filing date | |
| MOLECULAR DATA INC | 60852L106 | SPONSORED ADS | 3,154 | $9,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 9,000 | $9,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25460E612 | PORTFLIOPLS EMG | 450 | $9,000 | thousands by filing date | |
| SIRIUS INTERNATIONAL INSURAN COM | G8196D101 | Stock | 1,267 | $9,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 829 | $9,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 2,516 | $8,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 100 | $8,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 149 | $8,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 430 | $8,000 | thousands by filing date | |
| BIG SKY INDL INC | 911805307 | COM | 1,454 | $8,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D390 | ETRA BL CO MAT 5 | 620 | $8,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,027 | $8,000 | thousands by filing date | |
| NORTHERN LTS FD TR III | 66538R748 | HCM DEFND 100 | 269 | $8,000 | thousands by filing date | |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 591 | $8,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 314 | $8,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,266 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 323 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 573 | $8,000 | thousands by filing date | |
| PACER TRENDPILOT INTERNATIONAL ETF | 69374H683 | ETF | 361 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 372 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y574 | ADAPTIVE US | 368 | $8,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,858 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E495 | PURBTA 0 5 YR | 302 | $8,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 306 | $8,000 | thousands by filing date | |
| ABRDN ETFS | 003261203 | BBRG ALL COMMDY | 359 | $8,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,494 | $8,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 1,988 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E711 | CMN | 413 | $8,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 1,052 | $8,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 688 | $8,000 | thousands by filing date | |
| SCIENJOY HOLDING CORP | G7864D112 | CLASS A ORD | 1,229 | $8,000 | thousands by filing date | |
| GREENLAND TECHNOLOGIES HLDG | G4095T107 | ORD SHS CL A | 3,617 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 200 | $8,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 1,033 | $8,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 1,164 | $8,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,189 | $8,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 2,241 | $8,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 654 | $8,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 21,646 | $8,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 1,948 | $8,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 1,483 | $8,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 1,103 | $8,000 | thousands by filing date | |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 7,000 | $8,000 | thousands by filing date | principal |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 9,000 | $8,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 8,000 | $8,000 | thousands by filing date | principal |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 8,000 | $8,000 | thousands by filing date | principal |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 7,000 | $8,000 | thousands by filing date | principal |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 10,000 | $8,000 | thousands by filing date | principal |
| NEXTERA ENERGY INC | 65339F770 | CONV | 200 | $8,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 1,694 | $8,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 8,000 | $8,000 | thousands by filing date | principal |
| NULL | 032108854 | NULL | 728 | $8,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J119 | *W EXP 11/19/202 | 17,916 | $8,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 1,214 | $8,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 13,719 | $8,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 330 | $8,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 8,000 | $8,000 | thousands by filing date | principal |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 61,714 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E479 | PURBTA FTSE EM | 374 | $8,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 2,405 | $8,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 2,033 | $8,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 2,179 | $8,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 17,873 | $8,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P118 | *W EXP 03/13/202 | 1,951 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06747D700 | IPATH SLVR ETN A | 323 | $8,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 770 | $8,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D124 | UNIT 12/31/2026 | 779 | $8,000 | thousands by filing date | |
| HISTOGEN INC | 43358Y103 | COM | 2,108 | $8,000 | thousands by filing date | |
| ALBERTON ACQUISITION CORP | G35006108 | ORD SHS | 762 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 503 | $8,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 3,865 | $8,000 | thousands by filing date | |
| Gadsden Dynamic Multi Asset ETF | 26922A354 | ETF | 305 | $8,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W208 | UNIT 06/01/2025 | 803 | $8,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 841 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 328 | $8,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679674 | ENT LKD 39 | 181 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J684 | BULLSHS 21 USD | 327 | $8,000 | thousands by filing date | |
| CIIG MERGER CORP | 12559C111 | *W EXP 12/31/202 | 7,950 | $8,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G202 | UNIT 10/28/2024 | 764 | $8,000 | thousands by filing date | |
| GIGCAPITAL2 INC | 375036209 | UNIT 02/28/2026 | 736 | $8,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 1,643 | $8,000 | thousands by filing date | |
| EDISON NATION INC | 28103E106 | COM | 2,516 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B136 | ULTRA COMM SER | 149 | $8,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R114 | UNIT 06/21/2023 | 502 | $8,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CORP SHS CL A | G3165V109 | COM | 509 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B339 | IQ SHORT DURAT | 320 | $8,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 500 | $7,000 | thousands by filing date | put |
| PENNYMAC FINL SVCS INC NEW | 70932M107 | COM | 171 | $7,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 590 | $7,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 648 | $7,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 104 | $7,000 | thousands by filing date | |
| ISHARES TR | 46436E502 | US TECH BRKTHR | 250 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A321 | DISTILLATE US | 226 | $7,000 | thousands by filing date | |
| INNOVATOR U.S. EQUITY BUFFER ETF - MAY | 45782C326 | ETF | 256 | $7,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 2,453 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 107 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 354 | $7,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,957 | $7,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y821 | CMN | 252 | $7,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 325 | $7,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 824 | $7,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 1,273 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 304 | $7,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 425 | $7,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 1,672 | $7,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505681 | ETC 6 MEGA CAP | 277 | $7,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 2,278 | $7,000 | thousands by filing date | |
| COLLPLANT BIOTECHNOLOGIES LTD SHS NEW | 19516R107 | Stock | 695 | $7,000 | thousands by filing date | |
| AXE COMPUTE INC COM NEW | 74039M200 | Stock | 4,161 | $7,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 812 | $7,000 | thousands by filing date | |
| GENFIT S A | 372279109 | ADS | 1,273 | $7,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 8,000 | $7,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 6,000 | $7,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 6,000 | $7,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 7,000 | $7,000 | thousands by filing date | principal |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 8,000 | $7,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 8,000 | $7,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 1,993 | $7,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 7,000 | $7,000 | thousands by filing date | principal |
| CONMED CORP | 207410AF8 | BOND | 7,000 | $7,000 | thousands by filing date | principal |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 643 | $7,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,380 | $7,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,381 | $7,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 701 | $7,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 597 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 579 | $7,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 9,266 | $7,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,390 | $7,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 1,070 | $7,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $7,000 | thousands by filing date | principal |
| SOLIGENIX INC | 834223307 | COM | 3,386 | $7,000 | thousands by filing date | |
| CINCINNATI BANCORP INC | 17187C102 | COM | 817 | $7,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 7,421 | $7,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G771 | ETFMG TRAVEL TEC | 369 | $7,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y164 | COM NEW | 52,023 | $7,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 7,000 | $7,000 | thousands by filing date | principal |
| MARATHON PATENT GROUP INC | 56585W401 | COM | 8,138 | $7,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 14,154 | $7,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 1,933 | $7,000 | thousands by filing date | |
| DROPBOX INC - CLASS A | G4027R104 | COM | 5,173 | $7,000 | thousands by filing date | |
| SENESTECH INC | 81720R208 | COM NEW | 3,372 | $7,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P751 | FTSE ITALY ETF | 320 | $7,000 | thousands by filing date | |
| OSPREY TECHNLGY AQUISTION CO | 68839R104 | COM CL A | 673 | $7,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 6,826 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 269 | $7,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CORP COM | 46186M506 | Stock | 4,136 | $7,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 9,000 | $7,000 | thousands by filing date | principal |
| NEW HOME CO INC COM | 645370107 | COM | 2,222 | $7,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 6,127 | $7,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 18,192 | $7,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679682 | NT LKD 39 | 148 | $7,000 | thousands by filing date | |
| MID CON ENERGY PARTNERS LTD PARTNERSHIP NEW | 59560V208 | UNIT REPSTG LTD | 1,684 | $7,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS I | 88165N204 | COM NEW | 2,925 | $7,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 216 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430271 | MANUFCTING REVL | 115 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430297 | HUMAN EVOLUTION | 120 | $7,000 | thousands by filing date | |
| TENZING ACQUISITION CORP | G8708A124 | UNIT 08/24/2024 | 659 | $7,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CORP | 80821R208 | UNIT EX 123123 | 635 | $7,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 500 | $6,000 | thousands by filing date | put |
| MODERNA INC | 60770K107 | COM | 100 | $6,000 | thousands by filing date | put |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 2,117 | $6,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C656 | US EQTY PWR BUF | 250 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 300 | $6,000 | thousands by filing date | put |
| FRANKLIN TEMPLETON ETF TR | 35473P660 | FRANKLIN ASIA | 279 | $6,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 84 | $6,000 | thousands by filing date | |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 122 | $6,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 200 | $6,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 144 | $6,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 2,510 | $6,000 | thousands by filing date | |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 415 | $6,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,504 | $6,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,700 | $6,000 | thousands by filing date | |
| DELCATH SYSTEMS INC | 24661P807 | COMMON STOCK | 576 | $6,000 | thousands by filing date | |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 2,035 | $6,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 458 | $6,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 5,187 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P884 | US MID CP MLTFCT | 205 | $6,000 | thousands by filing date | |
| STRATEGY SHS | 86280R803 | DAY HAGAN SMART | 248 | $6,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 1,373 | $6,000 | thousands by filing date | |
| AMERICAN CENTURY ETF TR QUALITY DIVERSIFIED INTL | 025072406 | ETF | 150 | $6,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 392 | $6,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,000 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A230 | HOYA CAP HOUSI | 218 | $6,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 1,816 | $6,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 3,202 | $6,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E780 | CMN | 213 | $6,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 680 | $6,000 | thousands by filing date | |
| VERIFYME INC | 92346X206 | COM NEW | 1,475 | $6,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 1,975 | $6,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 767 | $6,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 5,775 | $6,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 3,051 | $6,000 | thousands by filing date | |
| UCLOUDLINK GROUP INC | 90354D104 | SPONSORED ADS | 388 | $6,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 1,588 | $6,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,900 | $6,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 590 | $6,000 | thousands by filing date | |
| NEXTGEN HEALTHCARE INC | 65343C102 | COMMON STOCK | 550 | $6,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 20,550 | $6,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 13,287 | $6,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 10,392 | $6,000 | thousands by filing date | |
| TUSCAN HLDGS CORP | 90069K104 | COM | 576 | $6,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941BAB2 | NOTE 0.375% 3/0 | 7,000 | $6,000 | thousands by filing date | principal |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 2,790 | $6,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AE5 | BOND | 5,000 | $6,000 | thousands by filing date | principal |
| VISTRA CORP | 92840M128 | COM | 10,006 | $6,000 | thousands by filing date | |
| KBR INC | 48242WAB2 | BOND | 5,000 | $6,000 | thousands by filing date | principal |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 10,218 | $6,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,801 | $6,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 3,673 | $6,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 520 | $6,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 1,704 | $6,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 5,075 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 201 | $6,000 | thousands by filing date | |
| BROOGE ENERGY LTD | G1611B115 | *W EXP 12/20/202 | 11,532 | $6,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 9,292 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $6,000 | thousands by filing date | principal |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 18,296 | $6,000 | thousands by filing date | |
| CAN FITE BIOPHARMA LTD | 13471N201 | SPONSORED ADS | 3,062 | $6,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 6,005 | $6,000 | thousands by filing date | |
| GENETRON HLDGS LTD | 37186H100 | ADS | 498 | $6,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 3,931 | $6,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078306 | COM | 8,045 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y537 | DORSY MICR ETF | 272 | $6,000 | thousands by filing date | |
| PAE INC | 69290Y117 | *W EXP 09/11/202 | 2,429 | $6,000 | thousands by filing date | |
| ECOFIN DIGITAL PAYMENTS INFRASTRUCTURE FUND | 56167N548 | ETF | 189 | $6,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 7,000 | $6,000 | thousands by filing date | principal |
| FORUM MERGER II CORP | 34986F202 | UNIT 09/30/2025 | 270 | $6,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643202 | UNIT 05/31/2024 | 525 | $6,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 2,000 | $6,000 | thousands by filing date | principal |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 1,014 | $6,000 | thousands by filing date | |
| CHARDAN HEALTHCR ACQSTN 2 CO | 15957T107 | COM | 581 | $6,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884203 | UNIT 99/99/9999 | 545 | $6,000 | thousands by filing date | |
| SOFTWARE ACQUISITION GROUP I | 83406B200 | UNIT 10/01/2026 | 535 | $6,000 | thousands by filing date | |
| PERFORMANCE SHIPPING INC | Y67305105 | COM | 9,342 | $6,000 | thousands by filing date | |
| GRAF INDUSTRIAL CORP | 384278206 | COM | 382 | $6,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 6,550 | $5,000 | thousands by filing date | |
| VISTA ENERGY S.A.B. DE C.V. SPONSORED ADS | 92837L109 | ADR | 1,547 | $5,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 1,579 | $5,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 2,110 | $5,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C813 | US EQTY PWR BUF | 190 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q647 | MUNICIPAL ETF | 100 | $5,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 1,393 | $5,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505723 | ROBO GBL HLTCR | 161 | $5,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 246 | $5,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 5,250 | $5,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 1,217 | $5,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 895 | $5,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 300 | $5,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,333 | $5,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 300 | $5,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2026 MUNICIPAL BOND ETF | 46138J510 | UIE | 200 | $5,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C391 | US EQTY BUFR MAR | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33740J104 | ULTRA SHT DUR MU | 253 | $5,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q105 | SIMP AF WORL ETF | 265 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P546 | SYSTMTC STYL PRE | 200 | $5,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 736 | $5,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,978 | $5,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 553 | $5,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,843 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051218 | XTRACKERS MSCI | 213 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 100 | $5,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 369 | $5,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| KINGOLD JEWELRY INC | 49579A303 | COM | 7,450 | $5,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 7,348 | $5,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 9,283 | $5,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 237 | $5,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 5,000 | $5,000 | thousands by filing date | principal |
| SIERRA METALS INC | 82639W106 | COM | 3,791 | $5,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 5,000 | $5,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| SEANERGY MARITIME HLDGS CORP | Y73760194 | COM | 2,523 | $5,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 3,407 | $5,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,231 | $5,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 1,621 | $5,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 5,000 | $5,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 7,790 | $5,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 356 | $5,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 3,907 | $5,000 | thousands by filing date | |
| REVIVA PHARMACEUTCLS HLDGS INC COM | G8708A116 | Stock | 482 | $5,000 | thousands by filing date | |
| COLOR STAR TECHNOLOGY CO LTD | G2287A100 | SHS NEW | 5,873 | $5,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| TANZANIAN GOLD CORP | 87601A107 | COM | 5,700 | $5,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 3,200 | $5,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 2,426 | $5,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 6,000 | $5,000 | thousands by filing date | principal |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 400 | $5,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 336 | $5,000 | thousands by filing date | |
| TD HLDGS INC COM NEW | 87250W103 | Stock | 2,779 | $5,000 | thousands by filing date | |
| DOGNESS INTERNATIONAL CORP | G2788T103 | COM CL A | 3,741 | $5,000 | thousands by filing date | |
| Sigma Additive Solutions, Inc. | 826598500 | common | 1,775 | $5,000 | thousands by filing date | |
| FLJ GROUP LIMITED SPON ADS | 74738J102 | ADR | 465 | $5,000 | thousands by filing date | |
| GREENPRO CAP CORP COM NEW | 39540F101 | Stock | 3,255 | $5,000 | thousands by filing date | |
| FANGDD NETWORK GROUP LTD | 30712L109 | SPONSORED ADS | 489 | $5,000 | thousands by filing date | |
| INPIXON | 45790J800 | COM | 3,464 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y525 | MSCI CHINA RE | 290 | $5,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 1,604 | $5,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P503 | DELTASHS S&P | 99 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A677 | NATIONWIDE ETF | 185 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| CHURCHILL CAP CORP II | 17143G114 | *W EXP 07/02/202 | 1,730 | $5,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130107 | COM | 471 | $5,000 | thousands by filing date | |
| WANDA SPORTS GROUP CO LTD | 93368R101 | SPONSORED ADS | 2,191 | $5,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M201 | UNIT 99/99/9999 | 474 | $5,000 | thousands by filing date | |
| RANPAK HLDGS CORP | 75321W111 | *W EXP 06/03/202 | 3,630 | $5,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 480 | $5,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E159 | VELCTYSHS USDGBP | 330 | $5,000 | thousands by filing date | |
| PROPTECH ACQUISITION CORP | 74349F200 | UNIT 10/01/2026 | 500 | $5,000 | thousands by filing date | |
| RA MED SYS INC | 74933X104 | COM | 9,906 | $5,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 6,512 | $5,000 | thousands by filing date | |
| LISTED FD TR | 53656F607 | COM | 163 | $4,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 167 | $4,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 249 | $4,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,462 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 200 | $4,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935805 | US VALUE FACTR | 63 | $4,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 7,481 | $4,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 137 | $4,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 264 | $4,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 3,398 | $4,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 589 | $4,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 461 | $4,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 287 | $4,000 | thousands by filing date | |
| Counterpoint High Yield Trend ETF | 66538R722 | ETF | 177 | $4,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N568 | USAA MSCI USA SM | 92 | $4,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 820 | $4,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 42,474 | $4,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 932 | $4,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 454 | $4,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 2,613 | $4,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C888 | US EQT BUFR APR | 159 | $4,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 1,042 | $4,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 333 | $4,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 240 | $4,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 3,865 | $4,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 4,643 | $4,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 1,043 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 86 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R738 | CMN | 216 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L670 | CRE SLCT BD FD | 148 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P587 | FTSE SAUDI ARB | 159 | $4,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 5,343 | $4,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 3,862 | $4,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 1,734 | $4,000 | thousands by filing date | |
| TIDAL TRUST I | 886364405 | SOFI SOCIAL 50 | 200 | $4,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 1,324 | $4,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 591 | $4,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 2,033 | $4,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 3,509 | $4,000 | thousands by filing date | |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 303 | $4,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,000 | $4,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 3,775 | $4,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 1,174 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E347 | S&P500 MIN VAR | 140 | $4,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 2,045 | $4,000 | thousands by filing date | |
| GULF RES INC | 40251W408 | COM | 828 | $4,000 | thousands by filing date | |
| X FINL SPONSORED ADS | 98372W103 | ADR | 3,904 | $4,000 | thousands by filing date | |
| GREENROSE HOLDING CO INC/THE | 395392202 | COM | 412 | $4,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 4,000 | $4,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,046 | $4,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 695 | $4,000 | thousands by filing date | |
| CNFINANCE HLDGS LTD | 18979T105 | SPON ADS | 1,031 | $4,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 7,610 | $4,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 4,830 | $4,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,036 | $4,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 1,005 | $4,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,078 | $4,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 847 | $4,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 157 | $4,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,700 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 497 | $4,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 5,000 | $4,000 | thousands by filing date | principal |
| PINTEC TECHNOLOGY HLDGS LTD SPONSORED ADS | 72352G107 | ADR | 3,351 | $4,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 3,678 | $4,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 1,872 | $4,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,670 | $4,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,706 | $4,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L201 | SHS NEW | 528 | $4,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T409 | COM | 575 | $4,000 | thousands by filing date | |
| SOFTWARE ACQUISITION GROUP I | 83406B101 | COM CL A | 350 | $4,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 1,334 | $4,000 | 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 |