13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-12, with 8,112 holding rows worth $265,314,949,000.
- Accession
- 0000950123-20-011384
- Filer
- CIK 1610520
- Filed
- 2020-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A combination report, 13,785 entries on the cover page, a total value of $265,314,949,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $265,315,045,000 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 |
|---|---|---|---|---|---|---|
| BRICKELL BIOTECH INC | 10802T105 | COM | 33,580 | $30,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 1,145 | $30,000 | thousands by filing date | |
| BROADSTONE NET LEASE INC | 11135E104 | CL A COM | 1,772 | $30,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q113 | *W EXP 06/30/202 | 13,925 | $30,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 895 | $30,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 2,617 | $30,000 | thousands by filing date | |
| DMY TECHNOLOGY GROUP INC | 233253111 | *W EXP 02/21/202 | 10,000 | $30,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 517 | $29,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q340 | BETABUILDERS US | 452 | $29,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C466 | GRWT100 PWR BF | 769 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 883 | $29,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 2,050 | $29,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 9,045 | $29,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 708 | $29,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 11,844 | $29,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 2,058 | $29,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,356 | $29,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 1,036 | $29,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C557 | US EQTY BUF DEC | 1,041 | $29,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 59 | $29,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 1,219 | $29,000 | thousands by filing date | |
| NORTHERN LIGHTS FD TR | 66538J738 | TOEWS AGLTY DNYM | 1,147 | $29,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 961 | $29,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 3,604 | $29,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 19,398 | $29,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 3,252 | $29,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 2,460 | $29,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 19,025 | $29,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 5,933 | $29,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 1,306 | $29,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 2,615 | $29,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F607 | EQUITYCOMPASS | 1,628 | $29,000 | thousands by filing date | |
| iMGP DBi Hedge Strategy ETF | 56170L794 | ETF | 1,077 | $29,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M109 | SHS | 2,803 | $29,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 1,067 | $29,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L771 | TREND AGRD GWT | 1,013 | $29,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 1,072 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 4,201 | $29,000 | thousands by filing date | |
| PERFORMANCE SHIPPING INC | Y67305105 | COM | 48,482 | $29,000 | thousands by filing date | |
| ABRDN ETFS | 003261104 | BBRG ALL COMD K1 | 1,417 | $28,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 915 | $28,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 950 | $28,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 36,841 | $28,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 3,400 | $28,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 4,179 | $28,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 2,052 | $28,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y201 | QUALITY ETF | 651 | $28,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 2,460 | $28,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 5,316 | $28,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 3,118 | $28,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 32,000 | $28,000 | thousands by filing date | principal |
| NEW YORK CITY REIT INC | 649439205 | COM | 2,349 | $28,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 2,546 | $28,000 | thousands by filing date | |
| ALLOVIR INC | 019818103 | COM | 1,007 | $28,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 11,146 | $28,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,286 | $28,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,011 | $28,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 66,180 | $28,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,097 | $28,000 | thousands by filing date | |
| CC NEUBERGER PRINCIPAL HLDNG | G1992Y122 | *W EXP 99/99/999 | 15,439 | $28,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 58,913 | $28,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 1,889 | $28,000 | thousands by filing date | |
| InterPrivate Acquisition Corp | 46064A111 | INTERPRIVATE ACQUISITI -CW24 | 34,132 | $28,000 | thousands by filing date | |
| STEPSTONE GROUP INC | 85914M107 | COM CL A | 1,000 | $27,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 5,556 | $27,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 1,100 | $27,000 | thousands by filing date | put |
| FRANKLIN FTSE LATIN AMERICA ETF | 35473P561 | ETF | 1,513 | $27,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 1,222 | $27,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 985 | $27,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092360 | FUNDAMENTAL LARG | 1,304 | $27,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 1,359 | $27,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 2,207 | $27,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 701 | $27,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 3,450 | $27,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 969 | $27,000 | thousands by filing date | |
| OUTSET MEDICAL INC | 690145107 | COM | 534 | $27,000 | thousands by filing date | |
| ACUTUS MED INC | 005111109 | COM | 912 | $27,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 6,072 | $27,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 4,000 | $27,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 9,000 | $27,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,506 | $27,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BEAR 2X SHARES | 25460E554 | ETF | 391 | $27,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 2,606 | $27,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 79,679 | $27,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A370 | LONCAR CHINA BIO | 884 | $27,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H508 | MUNI ALOCATN ETF | 1,106 | $27,000 | thousands by filing date | |
| CHPMW US 22 Nov 24 C11.5 | 12558Y114 | *W EXP 11/22/202 | 23,859 | $27,000 | thousands by filing date | |
| CONYERS PK II ACQUISITION CO | 212896104 | COM CL A | 2,705 | $27,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 996 | $26,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 1,099 | $26,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 4,090 | $26,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 4,773 | $26,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 1,200 | $26,000 | thousands by filing date | put |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 4,004 | $26,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 1,648 | $26,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,035 | $26,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 919 | $26,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 3,226 | $26,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E869 | DAILY 500 1X ETF | 1,253 | $26,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 5,573 | $26,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 2,579 | $26,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 1,241 | $26,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 671 | $26,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092725 | INT HG DIV ETF | 1,666 | $26,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072752 | LARG CA EQUI ETF | 606 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 567 | $26,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 4,179 | $26,000 | thousands by filing date | |
| PPD INC | 69355F102 | COM | 700 | $26,000 | thousands by filing date | put |
| MORPHOSYS AG | 617760202 | ADR | 841 | $26,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 7,586 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,441 | $26,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 12,579 | $26,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y813 | ULTRA SHT ACTV | 1,057 | $26,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 2,342 | $26,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM | 063679823 | MICROSCTR 3X LVG | 2,313 | $26,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 10,748 | $26,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E764 | ARMOR US EQT IDX | 1,360 | $26,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372132 | ORD SHS | 2,429 | $26,000 | thousands by filing date | |
| Invesco S&P 500 Momentum ETF | 46138E339 | SHS | 499 | $25,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 620 | $25,000 | thousands by filing date | |
| NORTHERN LTS FD TR III | 66538R748 | HCM DEFND 100 | 727 | $25,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 4,063 | $25,000 | thousands by filing date | |
| T ROWE PRICE DIVIDEND GROWTH ETF | 87283Q404 | COM | 1,000 | $25,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 2,349 | $25,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 7,104 | $25,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 1,804 | $25,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 2,377 | $25,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 4,039 | $25,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 80,253 | $25,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 988 | $25,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 1,466 | $25,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 5,122 | $25,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 3,900 | $25,000 | thousands by filing date | |
| GENASYS INC | 36872P103 | CMN | 4,000 | $25,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 21,353 | $25,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N550 | VCTRYSHS INTL MO | 628 | $25,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 565 | $25,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,057 | $25,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 9,875 | $25,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,128 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 737 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P456 | FUND | 660 | $25,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 2,600 | $25,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 22,000 | $25,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC COM | 40145Q203 | Stock | 123,591 | $25,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 1,623 | $25,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 1,228 | $25,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 1,621 | $25,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06747F119 | IPATH SER B TRSR | 641 | $25,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E654 | MKT HLDGS I VELCTYSHS JPYUSD | 1,231 | $25,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 4,023 | $24,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 2,730 | $24,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 2,074 | $24,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 1,337 | $24,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 1,337 | $24,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J585 | BULETSHS 2027 | 980 | $24,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 11,426 | $24,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 9,359 | $24,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 938 | $24,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 5,000 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 1,202 | $24,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,109 | $24,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,799 | $24,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 1,051 | $24,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 2,146 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 743 | $24,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 2,940 | $24,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,780 | $24,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,165 | $24,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 2,562 | $24,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 17,000 | $24,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A149 | DFIANC NQ JR BT | 924 | $24,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 4,231 | $24,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 3,128 | $24,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 1,367 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 1,715 | $24,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 11,000 | $24,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 960 | $24,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 1,049 | $24,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 25,000 | $24,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E127 | REIT ETF | 3,011 | $24,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 706 | $24,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 85,786 | $24,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 990 | $24,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $24,000 | thousands by filing date | principal |
| VISTAS MEDIA ACQUISITION CO | 92840T206 | UNIT 08/03/2025 | 2,406 | $24,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 1,751 | $24,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP III | 31811A119 | *W EXP 12/01/202 | 15,482 | $24,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 200 | $23,000 | thousands by filing date | put |
| RELAY THERAPEUTICS INC COM | 75943R102 | Stock | 539 | $23,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 987 | $23,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 1,246 | $23,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 1,570 | $23,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 883 | $23,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,087 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 1,612 | $23,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 1,644 | $23,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 1,156 | $23,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 1,553 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 832 | $23,000 | thousands by filing date | |
| FIRST TR FD VI ETF FIRST TRUST SMID GROWTH STRENGTH | 33738R746 | ETF | 1,248 | $23,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 3,721 | $23,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C888 | US EQT BUFR APR | 798 | $23,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E396 | S&P 500 CONC ETF | 859 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347B573 | CMN | 319 | $23,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 700 | $23,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 3,449 | $23,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G798 | VIRTUS PVT CR | 1,261 | $23,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 476 | $23,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 11,543 | $23,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P548 | FUND | 585 | $23,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 444 | $23,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 18,903 | $23,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 2,495 | $23,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 914 | $23,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 1,017 | $23,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 2,077 | $23,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 1,604 | $23,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 4,612 | $23,000 | thousands by filing date | |
| ATENTO S A | L0427L204 | CMN | 2,497 | $23,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 927 | $23,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 952 | $23,000 | thousands by filing date | |
| B RILEY PRIN MERGER CORP II | 05600U106 | CL A | 2,320 | $23,000 | thousands by filing date | |
| AIRNET TECHNOLOGY INC | 00941Q104 | SPONSORED ADR | 25,264 | $23,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 5,160 | $23,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 806 | $23,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 7,013 | $22,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,986 | $22,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 200 | $22,000 | thousands by filing date | put |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 200 | $22,000 | thousands by filing date | put |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 100 | $22,000 | thousands by filing date | put |
| NETSTREIT CORP | 64119V303 | COM | 1,216 | $22,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 2,714 | $22,000 | thousands by filing date | |
| PHREESIA INC | 71944F106 | COM | 695 | $22,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 63,967 | $22,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 1,500 | $22,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 1,665 | $22,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 3,346 | $22,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 904 | $22,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 938 | $22,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 409 | $22,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C565 | US EQTY ULTRA BU | 810 | $22,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF MARCH | 45782C375 | ETF | 807 | $22,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 2,399 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 1,046 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 1,817 | $22,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 921 | $22,000 | thousands by filing date | |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 1,425 | $22,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C763 | mc | 953 | $22,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 32,991 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y335 | MSCI PAKISTAN | 817 | $22,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 1,609 | $22,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 1,210 | $22,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 1,537 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 1,665 | $22,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 1,176 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E133 | DAILY FINL BEAR | 1,443 | $22,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 2,130 | $22,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 7,874 | $22,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745T368 | ETF | 1,194 | $22,000 | thousands by filing date | |
| BLUE HAT INTERACTIVE ENTMT T | G1329V106 | SHS | 25,520 | $22,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K207 | UNIT 06/19/2025 | 1,882 | $22,000 | thousands by filing date | |
| KENSINGTON CAP ACQUISITION C | 490073111 | *W EXP 07/01/202 | 4,894 | $22,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP II | 42087L200 | UNIT 10/31/2026 | 2,091 | $22,000 | thousands by filing date | |
| SOFTWARE ACQUISITION GROUP I | 83406B200 | UNIT 10/01/2026 | 2,160 | $22,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 848 | $21,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 300 | $21,000 | thousands by filing date | put |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 5,659 | $21,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 1,260 | $21,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 232 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y392 | VDEO GAM ESPRT | 782 | $21,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,141 | $21,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,930 | $21,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 4,164 | $21,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 713 | $21,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER ETF JUNE | 45782C730 | ETF | 756 | $21,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 80,255 | $21,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P876 | US SML CP MLTFCT | 800 | $21,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 3,062 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L207 | CMN | 1,390 | $21,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 2,574 | $21,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 3,533 | $21,000 | thousands by filing date | |
| LISTED FDS TR | 53656F888 | SHARES SML CAP | 908 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 664 | $21,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 2,126 | $21,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 1,007 | $21,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 2,922 | $21,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 781 | $21,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 24,845 | $21,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 5,500 | $21,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L105 | COM CL A | 2,086 | $21,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285102 | CL A | 2,086 | $21,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M106 | COM | 2,132 | $21,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 200 | $20,000 | thousands by filing date | put |
| Union Pacific Corporation | 907818108 | COM | 100 | $20,000 | thousands by filing date | put |
| CORTEVA INC COM | 22052L104 | Stock | 686 | $20,000 | thousands by filing date | call |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 3,001 | $20,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 260 | $20,000 | thousands by filing date | call |
| PMV PHARMACEUTICALS INC | 69353Y103 | COM | 571 | $20,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 2,670 | $20,000 | thousands by filing date | call |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 500 | $20,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 700 | $20,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C797 | US EQTY PWR BUF | 750 | $20,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,657 | $20,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1,992 | $20,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 773 | $20,000 | thousands by filing date | |
| IDEAL PWR INC | 451622203 | COM NEW | 3,220 | $20,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 547 | $20,000 | thousands by filing date | |
| REPARE THERAPEUTICS INC | 760273102 | COM | 664 | $20,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 1,068 | $20,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 914 | $20,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,975 | $20,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 2,516 | $20,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 5,177 | $20,000 | thousands by filing date | |
| INHIBRX INC | 45720L107 | COM | 1,087 | $20,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 5,746 | $20,000 | thousands by filing date | |
| CALLIDITAS THERAPEUTICS AB SPONSERED | 13124Q106 | ADS | 836 | $20,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 1,129 | $20,000 | thousands by filing date | |
| HIGHPEAK ENERGY INC | 43114Q121 | *W EXP 08/21/202 | 24,074 | $20,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 638 | $20,000 | thousands by filing date | |
| BRILLIANT ACQUISITION CORP | G1643W103 | UNIT 12/31/2020 | 2,046 | $20,000 | thousands by filing date | |
| INVESTMENT MANAGERS SER TR | 46143U849 | KNWLDL LD ETF | 516 | $20,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 27,177 | $20,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 899 | $20,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 996 | $20,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 757 | $20,000 | thousands by filing date | |
| PAINREFORM LTD | M77798102 | SHS | 4,267 | $20,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 3,265 | $20,000 | thousands by filing date | |
| YUNHONG INTL | G98882114 | UNIT 99/99/9999 | 2,013 | $20,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130107 | COM | 1,951 | $20,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N107 | COM CL A | 1,856 | $20,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y789 | US LRG MLTFCTR | 729 | $20,000 | thousands by filing date | |
| 8I ENTERPRISES ACQUISITION C | G2956M104 | SHS | 2,167 | $20,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L854 | TACTICAL INCOM | 842 | $20,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754205 | UNIT 99/99/9999 | 1,790 | $20,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 1,263 | $19,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 1,925 | $19,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D390 | ETRA BL CO MAT 5 | 1,417 | $19,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 946 | $19,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 17,572 | $19,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,165 | $19,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,456 | $19,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 13,856 | $19,000 | thousands by filing date | |
| RAND CAP CORP COM NEW | 752185207 | CEF | 1,714 | $19,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER APRIL | 45782C805 | ETF | 770 | $19,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER JULY | 45782C839 | ETF | 750 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347B557 | SP500 EX TECH | 332 | $19,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 624 | $19,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,000 | $19,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 3,191 | $19,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 8,251 | $19,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 858 | $19,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 710 | $19,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 1,018 | $19,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 1,892 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 674 | $19,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 1,257 | $19,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 2,751 | $19,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 7,788 | $19,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 4,815 | $19,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 2,643 | $19,000 | thousands by filing date | |
| HUMANIGEN INC | 444863203 | COM NEW | 1,790 | $19,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,589 | $19,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W671 | CONSUMER STPLS | 669 | $19,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 7,769 | $19,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W601 | INVT GRAD VALU | 661 | $19,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 3,791 | $19,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 4,230 | $19,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 15,460 | $19,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 4,156 | $19,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 5,468 | $19,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y651 | NORTH SQUA MCKE | 197 | $19,000 | thousands by filing date | |
| NOVUS CAP CORP WT EXP 063027 | 67012U116 | Stock | 6,918 | $19,000 | thousands by filing date | |
| STARBOARD VALUE ACQUISITN CORP UNIT EXP 091025 | 85521J208 | Stock | 1,892 | $19,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 1,000 | $18,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 100 | $18,000 | thousands by filing date | put |
| AEMETIS INC | 00770K202 | COM NEW | 5,735 | $18,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 839 | $18,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 4,800 | $18,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 4,205 | $18,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 7,727 | $18,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 4,815 | $18,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 970 | $18,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 554 | $18,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L607 | FREEDOM 100 EM | 698 | $18,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 700 | $18,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q683 | LEADERSHS EQT | 641 | $18,000 | thousands by filing date | |
| ARCUTIS BIOTHERAPEUTICS INC | 03969K108 | COM | 613 | $18,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072307 | US QUALITY GROW | 322 | $18,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,670 | $18,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 18,073 | $18,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 830 | $18,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,114 | $18,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 846 | $18,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 1,092 | $18,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 3,066 | $18,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 705 | $18,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,186 | $18,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 3,172 | $18,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,920 | $18,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 22,000 | $18,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 13,344 | $18,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 2,400 | $18,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 3,693 | $18,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 4,437 | $18,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 5,103 | $18,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 863 | $18,000 | thousands by filing date | |
| TREAN INS GROUP INC | 89457R101 | COM | 1,150 | $18,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 15,461 | $18,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 1,926 | $18,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 1,236 | $18,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 48,018 | $18,000 | thousands by filing date | |
| NULL | 301505749 | NULL | 624 | $18,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 887 | $18,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W126 | WARRANT | 18,475 | $18,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 26,896 | $18,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 5,408 | $18,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439102 | CL A | 1,870 | $18,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 1,252 | $18,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 782 | $18,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 534 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 12,000 | $18,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B532 | MANAGED FUT | 462 | $18,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T282 | XLNKS REIT ETN36 | 4,668 | $18,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 1,748 | $18,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 33,009 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347G846 | ULSHRT SEMIC NEW | 858 | $18,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 343 | $18,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W303 | COM | 35,496 | $18,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A123 | UNIT 08/01/2024 | 1,592 | $18,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 200 | $17,000 | thousands by filing date | put |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 699 | $17,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 2,000 | $17,000 | thousands by filing date | |
| BANK OF N T BUTTERFIELD & SO | G0772R208 | SHS NEW | 755 | $17,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 4,303 | $17,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G772 | INFRAC ACT MLP | 1,268 | $17,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 4,512 | $17,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCES INC | 004468500 | COMMON STOCK | 2,026 | $17,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 BUFFER ETF JUNE | 45782C755 | ETF | 590 | $17,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 3,870 | $17,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 3,717 | $17,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 2,175 | $17,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,986 | $17,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 10,100 | $17,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 950 | $17,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 1,179 | $17,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 981 | $17,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 2,759 | $17,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 1,400 | $17,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 2,239 | $17,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 3,718 | $17,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 3,492 | $17,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 561 | $17,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,265 | $17,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 21,155 | $17,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W401 | COM | 8,871 | $17,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 7,071 | $17,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 47,208 | $17,000 | thousands by filing date | |
| PTK ACQUISITION CORP | 69375F207 | UNIT 99/99/9999 | 1,678 | $17,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISTION CO | G31655114 | UNIT 06/09/2027 | 1,559 | $17,000 | thousands by filing date | |
| ORISUN ACQUISITION CORP | 68632T109 | COM | 1,685 | $17,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 1,207 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P694 | FRANKLN SWZLND | 560 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P830 | SHRT DUR MNG MUN | 777 | $16,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 545 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 413 | $16,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 495 | $16,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C672 | US EQT ULTRA BF | 580 | $16,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,497 | $16,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 919 | $16,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 935 | $16,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 280 | $16,000 | thousands by filing date | |
| RHINEBECK BANCORP INC | 762093102 | COMMON STOCK | 2,500 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347G804 | K-1 FREE CRD OIL | 429 | $16,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 1,691 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 232 | $16,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 17,000 | $16,000 | thousands by filing date | principal |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 5,863 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 400 | $16,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 716 | $16,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,060 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 293 | $16,000 | thousands by filing date | |
| PACER FDS TR | 69374H402 | CMN | 524 | $16,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505681 | ETC 6 MEGA CAP | 577 | $16,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 834 | $16,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 545 | $16,000 | thousands by filing date | |
| VOXELJET AG | 92912L206 | ADS | 1,841 | $16,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 3,840 | $16,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 1,824 | $16,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 3,174 | $16,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 3,118 | $16,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 10,905 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 1,358 | $16,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 1,365 | $16,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505756 | INNOVATION SHS | 572 | $16,000 | thousands by filing date | |
| GREENCITY ACQUISITION CORP | G4086B115 | UNIT 04/30/2026 | 1,653 | $16,000 | thousands by filing date | |
| DIREXION DAILY REAL ESTATE BEAR 3X SHARES | 25460E141 | ETF | 1,106 | $16,000 | thousands by filing date | |
| DFP HEALTHCARE ACQUISITNS CO | 23343Q100 | COM CL A | 1,546 | $16,000 | thousands by filing date | |
| AGF INVTS TR | 00110G887 | AGFIQ HEDGED DIV | 811 | $16,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 26,522 | $16,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-011384 | this filing | 2020-11-12 | acceptance time not in the bulk data set |