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 |
|---|---|---|---|---|---|---|
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 6,000 | $4,000 | thousands by filing date | principal |
| UNIQUE FABRICATING INC | 90915J103 | COM | 1,248 | $4,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 109 | $4,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F115 | *W EXP 08/21/202 | 29,369 | $4,000 | thousands by filing date | |
| POWERBRIDGE TECHNLOGIES CO LTD ORD SHS | G72007100 | ORD SHS | 1,968 | $4,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 3,000 | $4,000 | thousands by filing date | |
| METEN HOLDING GROUP LTD | G6055H114 | ORD SHS | 321 | $4,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402q100 | COM | 436 | $4,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 3,499 | $4,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 4,847 | $4,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC COM NE | 67424l209 | COM | 6,369 | $4,000 | thousands by filing date | |
| CONYERS PK II ACQUISITION CO | 212896104 | COM CL A | 327 | $4,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP III | G04415116 | UNIT 09/24/2020 | 401 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 271 | $4,000 | thousands by filing date | |
| CANCER GENETICS INC | 13739U203 | COM NEW | 1,341 | $4,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 5,000 | $4,000 | thousands by filing date | principal |
| 8I ENTERPRISES ACQUISITIN CO | G2956M138 | UNIT 99/99/9999 | 403 | $4,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 51,340 | $4,000 | thousands by filing date | |
| AGF INVTS TR | 00110G408 | US MARKET NETRL | 115 | $3,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C789 | US EQTY BUFR JUL | 111 | $3,000 | thousands by filing date | |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 107 | $3,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P694 | FRANKLN SWZLND | 115 | $3,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 585 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A388 | APTUS DEFINED | 101 | $3,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 6,861 | $3,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 856 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D606 | LNG DUR OPRTUN | 100 | $3,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 1,004 | $3,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 1,267 | $3,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 630 | $3,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 2,106 | $3,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 85 | $3,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072810 | FOCUSED DYNAMIC | 47 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J593 | RUSL 2000 DYNM | 123 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $3,000 | thousands by filing date | principal |
| IDEAL PWR INC | 451622203 | COM NEW | 513 | $3,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 76 | $3,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 600 | $3,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,500 | $3,000 | thousands by filing date | |
| BRAINSWAY LTD | 10501L106 | CMN | 452 | $3,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 128 | $3,000 | thousands by filing date | |
| BATTALION OIL CORP | 07134L107 | COM | 318 | $3,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 129 | $3,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 364 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 47 | $3,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 370 | $3,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 565 | $3,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 2,017 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 60 | $3,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 1,406 | $3,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 1,858 | $3,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 5,858 | $3,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 1,088 | $3,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 1,053 | $3,000 | thousands by filing date | |
| 36KR HOLDINGS INC SPONSORED ADR | 88429K103 | ADR | 957 | $3,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 1,473 | $3,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 700 | $3,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 1,341 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P431 | FUND | 66 | $3,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 1,498 | $3,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 268 | $3,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 2,288 | $3,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 16,678 | $3,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 2,536 | $3,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 883 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L469 | 2 YR TREAS BULL | 38 | $3,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 366 | $3,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 1,226 | $3,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 204 | $3,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 1,906 | $3,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 633 | $3,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 1,182 | $3,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 1,379 | $3,000 | thousands by filing date | |
| VERIFYME INC | 92346X115 | *W EXP 06/22/202 | 2,520 | $3,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K112 | *W EXP 02/12/202 | 9,656 | $3,000 | thousands by filing date | |
| ENTREPRENEURSHARES SERIES TR | 293828802 | ERSHARES ENT | 155 | $3,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505715 | NORTH SHOR GBL | 125 | $3,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 3,000 | $3,000 | thousands by filing date | principal |
| SHIFTPIXY INC | 82452L203 | COM NEW | 544 | $3,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 680 | $3,000 | thousands by filing date | |
| ENTREPRENEURSHARES SERIES TR | 293828885 | ERSHARES NEXTGEN | 190 | $3,000 | thousands by filing date | |
| AMTD IDEA GROUP | 00180G106 | SPONSORED ADS | 411 | $3,000 | thousands by filing date | |
| HERMITAGE OFFSHORE SERVICE L | G4511M108 | SHS | 6,839 | $3,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J204 | SPONSORED ADS NEW | 450 | $3,000 | thousands by filing date | |
| iMGP DBi Hedge Strategy ETF | 56170L794 | ETF | 100 | $3,000 | thousands by filing date | |
| REVIVA PHARMACEUTCLS HLDGS INC WT EXP 122525 | G8708A108 | Stock | 6,499 | $3,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G117 | *W EXP 03/05/202 | 1,849 | $3,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 1,182 | $3,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640309 | COM | 1,087 | $3,000 | thousands by filing date | |
| CHP MERGER CORP | 12558Y205 | UNIT 11/22/2024 | 293 | $3,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 298 | $3,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G106 | ORD SHS | 397 | $3,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNE | 51508j405 | LP | 103 | $3,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 500 | $3,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 3,749 | $3,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q114 | *W EXP 04/17/202 | 2,479 | $3,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 255 | $3,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 329 | $3,000 | thousands by filing date | |
| RUHNN HLDG LTD | 781314109 | ADS | 1,001 | $3,000 | thousands by filing date | |
| LIVE OAK ACQUISITION CORP COM CL A | 53804F103 | Stock | 257 | $3,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 12,610 | $3,000 | thousands by filing date | |
| AGF INVTS TR | 00110G101 | AGFIQ US MK MNTM | 107 | $3,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 97 | $3,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R122 | W EXP 06/21/202 | 1,163 | $3,000 | thousands by filing date | |
| SP Funds Dow Jones Global Sukuk ETF | 886364702 | SHS | 97 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 15 | $2,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,000 | $2,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 719 | $2,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C649 | US EQTY ULTRA B | 72 | $2,000 | thousands by filing date | |
| VALHI INC | 918905209 | COMMON STOCK | 212 | $2,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 834 | $2,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 368 | $2,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 444 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 77 | $2,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 79 | $2,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 150 | $2,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 1,056 | $2,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 68 | $2,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 525 | $2,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072505 | DIVERSIFIED MU | 29 | $2,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 50 | $2,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 319 | $2,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 354 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 120 | $2,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 1,435 | $2,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 1,113 | $2,000 | thousands by filing date | |
| RESEARCH SOLUTIONS INC | 761025105 | CMN | 890 | $2,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 965 | $2,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 1,720 | $2,000 | thousands by filing date | |
| ENLIVEX LTD | M4130Y106 | CMN | 344 | $2,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 1,300 | $2,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767843 | INDX FD | 42 | $2,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F854 | FT VEST U.S. | 78 | $2,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 100 | $2,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 7,169 | $2,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 500 | $2,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 1,039 | $2,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 175 | $2,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 1,482 | $2,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 815 | $2,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 559 | $2,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122140 | RIGHT 12/30/2030 | 4,804 | $2,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 90 | $2,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 116 | $2,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 735 | $2,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 97 | $2,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 1,711 | $2,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 2,474 | $2,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,816 | $2,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 2,267 | $2,000 | thousands by filing date | |
| Leuthold Core ETF | 527289789 | ETF | 80 | $2,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,749 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 12 | $2,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 865 | $2,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 1,744 | $2,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 1,579 | $2,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 355 | $2,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 995 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P530 | FUND | 83 | $2,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 1,931 | $2,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 715 | $2,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 661 | $2,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,076 | $2,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 1,463 | $2,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 918 | $2,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 144 | $2,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 476 | $2,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 607 | $2,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 3,250 | $2,000 | thousands by filing date | |
| LION GROUP HOLDING LTD | 53620U110 | *W EXP 06/16/202 | 14,884 | $2,000 | thousands by filing date | |
| WISA TECHNOLOGIES INC | 86633R203 | COM NEW | 794 | $2,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 3,062 | $2,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 1,333 | $2,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 111 | $2,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 1,144 | $2,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 100 | $2,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 714 | $2,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 745 | $2,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 46 | $2,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 2,033 | $2,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS CORP | 284849114 | W EXP 08/03/202 | 2,073 | $2,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 2,000 | $2,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 1,000 | $2,000 | thousands by filing date | principal |
| EVOKE PHARMA INC | 30049G104 | COM | 630 | $2,000 | thousands by filing date | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 3,000 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y733 | INDIA EX STATE | 107 | $2,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 90 | $2,000 | thousands by filing date | |
| INTL GNRL INSURANCE HLDNGS L | G4809J114 | WTS | 6,243 | $2,000 | thousands by filing date | |
| KAIXIN AUTO HLDGS | G5223X100 | CMN | 1,847 | $2,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 2,521 | $2,000 | thousands by filing date | |
| BIOFRONTERA AG ADR | 09075G105 | COM | 302 | $2,000 | thousands by filing date | |
| CAMBER ENERGY INC | 13200M508 | COM | 1,790 | $2,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 537 | $2,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T456 | ETN LKD 34 | 268 | $2,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 3,461 | $2,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 1,449 | $2,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A114 | *W EXP 07/31/202 | 8,716 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E453 | PURBTA MSCI SM | 90 | $2,000 | thousands by filing date | |
| ISHARES MSCI USA MIDCAP | 46435U143 | ETF | 63 | $2,000 | thousands by filing date | |
| CODE CHAIN NEW CONTINENT LTD | 19200A105 | COM | 1,009 | $2,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M133 | UNIT 05/10/2024 | 199 | $2,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 1,303 | $2,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 371 | $2,000 | thousands by filing date | |
| MMTEC INC | G6181K106 | SHS | 1,761 | $2,000 | thousands by filing date | |
| Tuanche Limited | 89856T104 | American Depositary Shares | 1,223 | $2,000 | thousands by filing date | |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 101,100 | $2,000 | thousands by filing date | |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 8,473 | $2,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 10,679 | $2,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 401 | $2,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G111 | *W EXP 10/28/202 | 5,934 | $2,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760145 | *W EXP 11/10/202 | 30,138 | $2,000 | thousands by filing date | |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 137 | $2,000 | thousands by filing date | |
| PACIFIC GLOBAL ETF TR INTL EQUITY INCM | 69434K304 | CEF | 85 | $2,000 | thousands by filing date | |
| BANK OF MONTREAL BIG OIL 3X LEV | 063679815 | Stock | 457 | $2,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC | 02128L114 | *W EXP 02/14/202 | 1,893 | $2,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 120 | $2,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L209 | UNIT 03/04/2024 | 53 | $2,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189H888 | COAL ETF | 25 | $2,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N206 | UNIT 04/30/2025 | 200 | $2,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F302 | COM NEW | 1,154 | $2,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E647 | MKT HLDGS I VELCTYSHS USDAUD | 136 | $2,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CO | G3165V117 | UNIT 10/04/2023 | 103 | $2,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 547 | $1,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 1,180 | $1,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 48 | $1,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U852 | HENDERSON MTG | 18 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 288 | $1,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 500 | $1,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 448 | $1,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 250 | $1,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 1,000 | $1,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C318 | US EQTY PWR BUF | 21 | $1,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J742 | RAFI STRATGIC US | 31 | $1,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 550 | $1,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 82 | $1,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 167 | $1,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 341 | $1,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 526 | $1,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 88 | $1,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 438 | $1,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 106 | $1,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 1,357 | $1,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 124 | $1,000 | thousands by filing date | |
| INTL GNRL INSURANCE HLDNGS L | G4809J106 | SHS | 108 | $1,000 | thousands by filing date | |
| TIDAL TR III ETF IMPACT SHARES WOMEN'S EMPOWERMENT | 45259A100 | ETF | 50 | $1,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 147 | $1,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 559 | $1,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 1,174 | $1,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 557 | $1,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE MOMENTUM ET | 02072L300 | ETF | 54 | $1,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 100 | $1,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 100 | $1,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 798 | $1,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 81 | $1,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 466 | $1,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430362 | ACCESS INFLATI | 15 | $1,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 173 | $1,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 270 | $1,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 90 | $1,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 1,025 | $1,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 351 | $1,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 1,594 | $1,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 97 | $1,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 592 | $1,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 730 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 100 | $1,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 62 | $1,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 48 | $1,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505673 | ETC 6 SMALL CAP | 38 | $1,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 224 | $1,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 160 | $1,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 200 | $1,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 64 | $1,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 18 | $1,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 529 | $1,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 1,640 | $1,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 38 | $1,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 480 | $1,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 197 | $1,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 521 | $1,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 70 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G848 | VIRTUS WMC INTNL | 42 | $1,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 300 | $1,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 333 | $1,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDIN | 890260706 | COM | 1,011 | $1,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 470 | $1,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 1,030 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G880 | FUND | 21 | $1,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 54 | $1,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 493 | $1,000 | thousands by filing date | |
| LION GROUP HOLDING LTD | 53620U102 | ADR | 355 | $1,000 | thousands by filing date | |
| MOHAWK GROUP HLDGS INC | 608189106 | COM | 257 | $1,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 100 | $1,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 289 | $1,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 2,178 | $1,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 507 | $1,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 1,000 | $1,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 1,998 | $1,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 8,898 | $1,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 42 | $1,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 706 | $1,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 1,411 | $1,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 638901306 | PFD | 42 | $1,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 1,220 | $1,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 95 | $1,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 287 | $1,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 330 | $1,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 1,763 | $1,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 486 | $1,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 721 | $1,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505756 | INNOVATION SHS | 37 | $1,000 | thousands by filing date | |
| IMPACT | 45259A308 | SHS FDS I TR SUS DV GGE ETF | 36 | $1,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 567 | $1,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 100 | $1,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A347 | AAM S&P DEV MK | 38 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R174 | *W EXP 11/14/202 | 2,212 | $1,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 1,041 | $1,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 244 | $1,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W126 | WARRANT | 1,000 | $1,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 1,256 | $1,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 1,920 | $1,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 1,306 | $1,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 902 | $1,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 210 | $1,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A112 | W EXP 01/15/202 | 4,318 | $1,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 288 | $1,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015131 | *W EXP 07/19/202 | 1,270 | $1,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 1,145 | $1,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P579 | FTSE SOUTH AFR | 43 | $1,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 30 | $1,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,000 | $1,000 | thousands by filing date | |
| PRECIPIO INC | 74019L503 | COM | 757 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 2,984 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y558 | MSCI CHINA CON | 21 | $1,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 504 | $1,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 158 | $1,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 1,468 | $1,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 3,031 | $1,000 | thousands by filing date | |
| KALEYRA INC | 483379111 | *W EXP 11/25/202 | 1,859 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 51 | $1,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G114 | *W EXP 11/12/202 | 1,570 | $1,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 502 | $1,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 106 | $1,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 549 | $1,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 1,602 | $1,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 1,292 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745T368 | ETF | 50 | $1,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E487 | PURBTA FTSE DV | 52 | $1,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527117 | *W EXP 06/27/202 | 5,741 | $1,000 | thousands by filing date | |
| APEX GLOBAL BRANDS INC | 03755M201 | COM NEW | 452 | $1,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 1,000 | $1,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 323 | $1,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 98 | $1,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 654 | $1,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 125 | $1,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A461 | AI PWD INTL EQTY | 36 | $1,000 | thousands by filing date | |
| IMMURON LTD | Q4867H223 | *W EXP 06/08/202 | 881 | $1,000 | thousands by filing date | |
| WEIDAI LTD | 94861A108 | SPONS ADS | 488 | $1,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 1,000 | $1,000 | thousands by filing date | |
| PAVMED INC | 70387R114 | *W EXP 01/29/202 | 700 | $1,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L121 | UNIT 99/99/9999 | 101 | $1,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 1,696 | $1,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 500 | $1,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G129 | RIGHT 06/01/2021 | 2,447 | $1,000 | thousands by filing date | |
| MicroSectors FANG Index 2X Inverse Leveraged ETN | 063679849 | ETP | 69 | $1,000 | thousands by filing date | |
| PGIM ETF TR | 69344A503 | QMA STRGC GWTH | 30 | $1,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 141 | $1,000 | thousands by filing date | |
| ATIF HOLDINGS LIMITED | G0602B100 | SHS | 476 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A127 | *W EXP 07/07/202 | 74,854 | $1,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISITION C | 34962V205 | UNIT 99/99/9999 | 71 | $1,000 | thousands by filing date | |
| AURIS MEDICAL HOLDING LTD | G07025201 | SHS | 1,371 | $1,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 95 | $1,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402Q118 | UNIT 99/99/9999 | 100 | $1,000 | thousands by filing date | |
| MICROSECTORS FANG INDEX -3X INVERSE LEVERAGED ETN | 063679864 | ETF | 329 | $1,000 | thousands by filing date | |
| LM FDG AMER INC COM NEW | 502074305 | Stock | 925 | $1,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372124 | RIGHT 11/30/2020 | 2,684 | $1,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP II | 42087L200 | UNIT 10/31/2026 | 85 | $1,000 | thousands by filing date | |
| INSURANCE ACQUISITION CORP | 457867117 | *W EXP 03/31/202 | 270 | $1,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P118 | *W EXP 03/08/202 | 6,801 | $1,000 | thousands by filing date | |
| NEWBORN ACQUISITION CORP | G6463T130 | UNIT 99/99/9999 | 101 | $1,000 | thousands by filing date | |
| PACIFIC GLOBAL ETF TR | 69434K106 | US EQ INM ETF | 63 | $1,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 1,297 | $1,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 53,865 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347G200 | ULSHRT SEMIC NEW | 152 | $1,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TASEKO MINES LTD COM | 876511106 | Stock | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EURODRY LTD | Y23508107 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEARPOINT NEURO INC | 18507C103 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EA SERIES TRUST | 02072L607 | FREEDOM 100 EM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUELCELL ENERGY INC | 35952H601 | COM | 264 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 197 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| US GOLD CORP | 90291C201 | COMMON STOCK | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46436E825 | IBONDS 29 TRM TS | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEPHROS INC | 640671400 | COM | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EUROSEAS LTD | Y23592135 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR ETF GENOMICS IMMUNOLOGY & HEALTHCARE | 46435U192 | ETF | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPAR GROUP INC | 784933103 | COM | 219 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 91 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANKLIN TEMPLETON ETF TR | 35473P488 | US TREAS BD ETF | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRIDGELINE DIGITAL INC | 10807Q700 | COM | 102 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 104 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROBOT MED INC | 59503A204 | COM NEW | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A453 | CLEARSHS ULTRA | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTSHARES TRUST | 02210T108 | MERGER ARBITRAGE | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CKX LDS INC | 12562N104 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y487 | DORSY FSM US | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOATABLE INC | 759892300 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLOTEK INDS INC DEL | 343389102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 164 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GULF IS FABRICATION INC | 402307102 | COM | 130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FANG HLDGS LTD | 30711Y300 | ADR NEW | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENERPLUS CORP | 292766102 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 706 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMX RTY CORP | 26873J107 | COM | 162 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 313 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YIELD10 BIOSCIENCE INC | 98585K862 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 82 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R117 | WARR | 59 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R125 | WARR | 1,114 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TITAN MED INC | 88830X819 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVA LIFESTYLE INC | 66979P201 | COM | 107 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INNERWORKINGS INC | 45773Y105 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEIN MART INC | 858375108 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 372 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BSQUARE CORP | 11776U300 | COM | 191 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EVER GLORY INTL GRP INC | 299766204 | COM | 221 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 105 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIM IMMUNOTECH INC | 00901B105 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHEER HLDG INC | G39973113 | *W EXP 02/13/202 | 1,522 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERB TECHNOLOGY CO INC | 92337U104 | COM | 334 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 1,450 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREATIVE REALITIES INC | 22530J200 | COM | 88 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 71 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 71 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCHNG TRAD SLF INDE | 46139W601 | INVT GRAD VALU | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIMINAL BIOSCIENCES INC | 53272L103 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OBLONG INC | 674434105 | COM | 71 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN VRTUAL CLOUD TECH I | 030382113 | *W EXP 04/07/202 | 1,417 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOCARDIA INC | 09060U119 | *W EXP 08/06/202 | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD INC | 044104107 | COM | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 475 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYCLACEL PHARMACE 6percent PFDCONV | 23254L603 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 409 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Uxin Ltd | 91818X108 | ADS | 301 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYREN LTD | M26895108 | SHS | 415 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 168 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURYN RES INC | 05208W108 | COM | 117 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 180 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIVUS INC | 928551308 | COM NEW | 333 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 295 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOSYS INC | 619718307 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 77 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PYXIS TANKERS INC | Y71726106 | COM | 592 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TOUGHBUILT INDS INC | 89157G116 | *W EXP 11/14/202 | 6,145 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERIDA MERGER CORP I | 58953M114 | *W EXP 11/07/202 | 151 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 378 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISEKEY INTERNATIONAL HLDS L | 97727L200 | SPON ADS | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO ACTIVELY MANAGED EXCHA LIQ $12.06432/SH 6/26/23 | 46090A309 | LIQ $12.06432/SH 6/26/23 | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDIGUS LTD | 58471G128 | *W EXP 07/22/202 | 1,501 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONTURA ENERGY INC | 21241B100 | COM | 111 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHECK CAP LTD | M2361E161 | *W EXP 05/03/202 | 8,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVENT TECHNOLOGIES HOLDNG INC WT EXP 020326 | 00165R119 | Stock | 394 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 132 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |