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 |
|---|---|---|---|---|---|---|
| SOLIGENIX INC | 834223117 | *W EXP 11/14/202 | 25,851 | $16,000 | thousands by filing date | |
| GALILEO ACQUISITION CORP | G3770A128 | UNIT 99/99/9999 | 1,585 | $16,000 | thousands by filing date | |
| FLYING EAGLE ACQUISITION COR | 34407Y202 | UNIT 99/99/9999 | 1,226 | $16,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP III | 31811A309 | UNIT 12/01/2023 | 1,480 | $16,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C433 | US EQTY BUFR FEB | 606 | $15,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 60 | $15,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 1,000 | $15,000 | thousands by filing date | call |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 291 | $15,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 4,739 | $15,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 1,000 | $15,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,223 | $15,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 895 | $15,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 756 | $15,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 4,199 | $15,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 1,689 | $15,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F748 | FT VEST US EQT | 460 | $15,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 555 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E495 | PURBTA 0 5 YR | 599 | $15,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 14,157 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 941 | $15,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 18,146 | $15,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 2,055 | $15,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,250 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 199 | $15,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 1,769 | $15,000 | thousands by filing date | |
| LISTED FDS TR | 53656F870 | SHARES FOREIGN | 637 | $15,000 | thousands by filing date | |
| ELTEK LTD | M40184208 | SHS | 3,184 | $15,000 | thousands by filing date | |
| INDONESIA ENERGY CORP LTD | G4760X102 | ORD SHS | 3,170 | $15,000 | thousands by filing date | |
| UCLOUDLINK GROUP INC | 90354D104 | SPONSORED ADS | 1,197 | $15,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 3,585 | $15,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 899 | $15,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 2,698 | $15,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 692 | $15,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 1,074 | $15,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 1,030 | $15,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 346 | $15,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 3,392 | $15,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 2,033 | $15,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 4,886 | $15,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 14,000 | $15,000 | thousands by filing date | principal |
| MMA Capital Management LLC | 55315D105 | COM | 674 | $15,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 26,511 | $15,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 752 | $15,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760194 | COM | 32,618 | $15,000 | thousands by filing date | |
| AESTHETIC MED INTL HLDG GR L | 00809M104 | ADR | 3,452 | $15,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 7,640 | $15,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 1,304 | $15,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 781 | $15,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 3,420 | $15,000 | thousands by filing date | |
| MOHAWK GROUP HLDGS INC | 608189106 | COM | 1,872 | $15,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 17,846 | $15,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 4,299 | $15,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 7,928 | $15,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 15,452 | $15,000 | thousands by filing date | |
| PGIM ETF TR | 69344A305 | QMA STRGC ALPH | 294 | $15,000 | thousands by filing date | |
| ACE Convergence Acquisition Corp | G0083D120 | COM | 1,500 | $15,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 2,308 | $15,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 7,398 | $15,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 4,480 | $15,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 8,555 | $15,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 372 | $15,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 2,132 | $15,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 18,715 | $15,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 2,349 | $15,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 200 | $14,000 | thousands by filing date | put |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 7,723 | $14,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 1,814 | $14,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 2,471 | $14,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 500 | $14,000 | thousands by filing date | put |
| PTC THERAPEUTICS INC | 69366J200 | COM | 294 | $14,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 566 | $14,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 689 | $14,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 1,203 | $14,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 335 | $14,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 994 | $14,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 2,852 | $14,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,251 | $14,000 | thousands by filing date | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 438 | $14,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,452 | $14,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF MAY | 45782C292 | ETF | 529 | $14,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C391 | US EQTY BUFR MAR | 482 | $14,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092535 | INTL MULTIFACTOR | 552 | $14,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 5,870 | $14,000 | thousands by filing date | |
| BETTERWARE DE MEXC S A P I D | P1666E105 | SHS | 788 | $14,000 | thousands by filing date | |
| BEAM GLOBAL | 07373B109 | COM | 1,175 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33740J203 | EQUITY MARKET NE | 699 | $14,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 2,944 | $14,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 220 | $14,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 2,232 | $14,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 3,397 | $14,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 536 | $14,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 12,000 | $14,000 | thousands by filing date | principal |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,169 | $14,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 20,276 | $14,000 | thousands by filing date | |
| VITRU LTD | G9440D103 | COM | 1,081 | $14,000 | thousands by filing date | |
| BIOMX INC | 09090D103 | COM | 2,236 | $14,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 1,532 | $14,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 3,805 | $14,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 1,025 | $14,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 1,434 | $14,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 4,246 | $14,000 | thousands by filing date | |
| ADDEX THERAPEUTICS LTD | 00654J107 | SPONSORED ADS | 1,144 | $14,000 | thousands by filing date | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T108 | COM | 2,508 | $14,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 7,936 | $14,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 6,471 | $14,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 2,000 | $14,000 | thousands by filing date | |
| ACTIVESHARES ETF TR | 00509W105 | CLRBRDG FCS ESG | 500 | $14,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 1,636 | $14,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S116 | CL A SHS | 1,394 | $14,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 1,655 | $14,000 | thousands by filing date | |
| FORUM MERGER III CORP | 349885103 | COM CL A | 1,427 | $14,000 | thousands by filing date | |
| APPLIED UV INC | 03828V105 | COM | 1,966 | $14,000 | thousands by filing date | |
| LIONHEART ACQUISITION CORP | 53625R203 | CMN | 1,374 | $14,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 4,677 | $14,000 | thousands by filing date | |
| LIV CAP ACQUISITION CORP | G5510C108 | CL A | 1,400 | $14,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION | 03768F201 | UNIT 06/11/2026 | 1,201 | $14,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 11,455 | $14,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C208 | UNIT 09/01/2026 | 1,382 | $14,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285201 | UNIT 12/30/2025 | 1,307 | $14,000 | thousands by filing date | |
| ROTH CH ACQUISITION I CO | 778675207 | UNIT 01/28/2025 | 1,267 | $14,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 304 | $13,000 | thousands by filing date | |
| ENERPAC TOOL GROUP CORP CL A COM | 292765104 | Stock | 699 | $13,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 5,016 | $13,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 1,928 | $13,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 851 | $13,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 10,000 | $13,000 | thousands by filing date | principal |
| SI BONE INC | 825704109 | COM | 571 | $13,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 474 | $13,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 600 | $13,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 829 | $13,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 732 | $13,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 1,496 | $13,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 2,204 | $13,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 3,498 | $13,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 298 | $13,000 | thousands by filing date | |
| Hartford Schroders Tax-Aware Bond ETF | 41653L404 | ETF | 600 | $13,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 613 | $13,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 1,650 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 331 | $13,000 | thousands by filing date | |
| LISTED FDS TR | 53656F805 | SHARES LAG CAP | 447 | $13,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 465 | $13,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,385 | $13,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 2,801 | $13,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 382 | $13,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 4,576 | $13,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 433 | $13,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 11,925 | $13,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 7,714 | $13,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 6,335 | $13,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 1,067 | $13,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 5,978 | $13,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 6,568 | $13,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 3,021 | $13,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 12,000 | $13,000 | thousands by filing date | principal |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 1,502 | $13,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 2,148 | $13,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,888 | $13,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 1,258 | $13,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 463 | $13,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,500 | $13,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 6,082 | $13,000 | thousands by filing date | |
| CAPSTAR SPL PURP ACQUISITION | 14070Y119 | *W EXP 99/99/999 | 15,900 | $13,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,722 | $13,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 518 | $13,000 | thousands by filing date | |
| FORMA THERAPEUTICS HLDGS INC | 34633R104 | SHS | 267 | $13,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 12,392 | $13,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 50,253 | $13,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,432 | $13,000 | thousands by filing date | |
| JUNIPER INDL HLDGS INC | 48205G114 | *W EXP 11/13/202 | 7,500 | $13,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVT CORP | 443761200 | UNIT 06/21/2025 | 1,258 | $13,000 | thousands by filing date | |
| TIDAL ETF TR | 886364108 | AWARE ULTRASHR | 261 | $13,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 45,947 | $13,000 | thousands by filing date | |
| Sequential Brands Group Inc(NV) | 81734P206 | CS | 2,832 | $13,000 | thousands by filing date | |
| METEN HOLDING GROUP LTD | G6055H114 | ORD SHS | 2,160 | $13,000 | thousands by filing date | |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 113 | $13,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P107 | mc | 210 | $13,000 | thousands by filing date | |
| BLUECITY HLDGS LTD | 09610L106 | ADS | 1,498 | $13,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 962 | $13,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISITION C | 34962V205 | UNIT 99/99/9999 | 836 | $13,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865111 | *W EXP 01/22/202 | 7,800 | $13,000 | thousands by filing date | |
| BCTG ACQUISITION CORP | 05492W103 | COM | 1,298 | $13,000 | thousands by filing date | |
| TUSCAN HOLDINGS CORP | 90069K203 | UNIT 99/99/9999 | 1,291 | $13,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S124 | UNIT 99/99/9999 | 1,199 | $13,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G205 | UNIT 99/99/9999 | 1,188 | $13,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 2,000 | $13,000 | thousands by filing date | principal |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 867 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435U218 | ESG MSCI LEADR | 200 | $12,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 6,744 | $12,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 588 | $12,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 307 | $12,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 177 | $12,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 753 | $12,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 485 | $12,000 | thousands by filing date | |
| DELCATH SYSTEMS INC | 24661P807 | COMMON STOCK | 1,040 | $12,000 | thousands by filing date | |
| HIREQUEST INC | 433535101 | COMMON STOCK | 1,562 | $12,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,316 | $12,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A321 | DISTILLATE US | 374 | $12,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 1,936 | $12,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 11,300 | $12,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 438 | $12,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 988 | $12,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,299 | $12,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L877 | ROYCE QUANT SML | 543 | $12,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 2,101 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 287 | $12,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,019 | $12,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 1,114 | $12,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 751 | $12,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 4,476 | $12,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 14,500 | $12,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 1,404 | $12,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 3,793 | $12,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 817 | $12,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 1,141 | $12,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 1,215 | $12,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 11,000 | $12,000 | thousands by filing date | principal |
| PROOFPOINT INC | 743424AF0 | NOTE 0.250% 8/1 | 12,000 | $12,000 | thousands by filing date | principal |
| CODORUS VY BANCORP INC | 192025104 | COM | 938 | $12,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 4,172 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 449 | $12,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 2,202 | $12,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 3,054 | $12,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 787 | $12,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 849 | $12,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 822 | $12,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 5,418 | $12,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,343 | $12,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 5,406 | $12,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 1,551 | $12,000 | thousands by filing date | |
| FSD PHARMA INC | 35954B206 | CL B SUB VTG | 4,853 | $12,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886TAJ1 | NOTE 1.750% 6/0 | 12,000 | $12,000 | thousands by filing date | principal |
| AVINGER INC | 053734604 | COM | 38,605 | $12,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 768 | $12,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 3,534 | $12,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 3,643 | $12,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 3,623 | $12,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 2,800 | $12,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 105,639 | $12,000 | thousands by filing date | |
| Colonnade Acquisition Corp | G2283K128 | COLONNADE ACQUISITION CORP | 1,156 | $12,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641205 | UNIT 99/99/9999 | 1,118 | $12,000 | thousands by filing date | |
| OAKTREE ACQUISITION CORP | G67145121 | UNIT 99/99/9999 | 901 | $12,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 28,285 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B151 | ULTRSHORT COMM | 767 | $12,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 6,169 | $11,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,500 | $11,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 4,712 | $11,000 | thousands by filing date | |
| ANNEXON INC | 03589W102 | COM | 374 | $11,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 824 | $11,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 3,913 | $11,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 657 | $11,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 449 | $11,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 1,000 | $11,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 954 | $11,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 6,786 | $11,000 | thousands by filing date | |
| NORTHERN LTS FD TR III | 66538R730 | HCM DEFEN 500 | 375 | $11,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 1,732 | $11,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 521 | $11,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 230 | $11,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 386 | $11,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 594 | $11,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 3,534 | $11,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 7,842 | $11,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 719 | $11,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 924 | $11,000 | thousands by filing date | |
| Counterpoint High Yield Trend ETF | 66538R722 | ETF | 459 | $11,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 835 | $11,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 3,755 | $11,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 2,096 | $11,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 1,452 | $11,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,937 | $11,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 1,490 | $11,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 879 | $11,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 317 | $11,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,327 | $11,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 4,250 | $11,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 2,713 | $11,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 293 | $11,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 2,077 | $11,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 2,575 | $11,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 2,768 | $11,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 1,247 | $11,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 1,413 | $11,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,501 | $11,000 | thousands by filing date | |
| GULF RES INC | 40251W408 | COM | 2,076 | $11,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 10,000 | $11,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 10,000 | $11,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 10,000 | $11,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 11,000 | $11,000 | thousands by filing date | principal |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 1,143 | $11,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 12,000 | $11,000 | thousands by filing date | principal |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 5,296 | $11,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,651 | $11,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 13,618 | $11,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 2,074 | $11,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 765 | $11,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 391 | $11,000 | thousands by filing date | |
| NULL | 68620A203 | NULL | 1,450 | $11,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 21,738 | $11,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D303 | COM | 2,037 | $11,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 7,368 | $11,000 | thousands by filing date | |
| HIGHEST PERFORMANCES HOLDINGS - ADR | 69373Y109 | COM | 2,025 | $11,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W614 | GOLD STRATEGY | 181 | $11,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 7,527 | $11,000 | thousands by filing date | |
| CYCLACEL PHARMACE 6percent PFDCONV | 23254L603 | Stock | 2,994 | $11,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 2,163 | $11,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 1,459 | $11,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 11,000 | $11,000 | thousands by filing date | principal |
| INTERPACE BIOSCIENCES INC | 46062X303 | COM | 3,472 | $11,000 | thousands by filing date | |
| EDESA BIOTECH INC | 27966L108 | COM | 1,307 | $11,000 | thousands by filing date | |
| EBANG INTL HLDGS INC | G3R33A106 | CL A SHS | 1,060 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y517 | MSCI CHINA UTL | 800 | $11,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P751 | FTSE ITALY ETF | 525 | $11,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 20,659 | $11,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 10,000 | $11,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 9,956 | $11,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 4,020 | $11,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 7,802 | $11,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 1,913 | $11,000 | thousands by filing date | |
| CHP MERGER CORP | 12558Y205 | UNIT 11/22/2024 | 1,029 | $11,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A495 | VOLSHARES LARG | 327 | $11,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G106 | ORD SHS | 1,495 | $11,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNE | 51508j405 | LP | 451 | $11,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 1,031 | $11,000 | thousands by filing date | |
| PGIM ETF TR | 69344A404 | QMA STRATEGIC | 200 | $11,000 | thousands by filing date | |
| ALUSSA ENERGY ACQUISITION CO | G0232J127 | UNIT 10/31/2026 | 1,100 | $11,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORD ADS NEW | 49803V206 | Stock | 2,444 | $11,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L122 | UNIT 99/99/9999 | 1,018 | $11,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C104 | CL A COM | 1,024 | $11,000 | thousands by filing date | |
| CIIG MERGER CORP | 12559C202 | UNIT 12/31/2026 | 982 | $11,000 | thousands by filing date | |
| Tottenham Acquisition I Limited | G8959N106 | SHS | 1,030 | $11,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 100 | $10,000 | thousands by filing date | put |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 1,322 | $10,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 836 | $10,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 11,900 | $10,000 | thousands by filing date | put |
| VSE CORP COM | 918284100 | Stock | 320 | $10,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 4,152 | $10,000 | thousands by filing date | |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 425 | $10,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,281 | $10,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 301 | $10,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 32,999 | $10,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 1,794 | $10,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 650 | $10,000 | thousands by filing date | |
| JPMORGAN BETABUILD INTERL EQY ETF | 46641Q373 | COM | 214 | $10,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 1,170 | $10,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 554 | $10,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 1,900 | $10,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 697 | $10,000 | thousands by filing date | |
| PACER FDS TR | 69374H634 | AMERICAN ENERGY | 688 | $10,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 888 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J593 | RUSL 2000 DYNM | 428 | $10,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527109 | SHS | 7,838 | $10,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 325 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 416 | $10,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 4,897 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 390 | $10,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 595 | $10,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 3,488 | $10,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 297 | $10,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 758 | $10,000 | thousands by filing date | |
| MOATABLE INC | 759892300 | COM | 2,504 | $10,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 3,470 | $10,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 1,589 | $10,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,000 | $10,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 1,805 | $10,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 11,478 | $10,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 2,917 | $10,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 665 | $10,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 3,269 | $10,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| AYRO INC | 054748108 | COM | 3,526 | $10,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 753 | $10,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 14,782 | $10,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 4,862 | $10,000 | thousands by filing date | |
| CONMED CORP | 207410AF8 | BOND | 9,000 | $10,000 | thousands by filing date | principal |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 6,353 | $10,000 | thousands by filing date | |
| HOLICITY INC | 435063201 | UNIT 08/05/2025 | 989 | $10,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 3,551 | $10,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 200 | $10,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 3,381 | $10,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 2,397 | $10,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 6,292 | $10,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L204 | COM NEW | 1,180 | $10,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 5,898 | $10,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 25,417 | $10,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 13,000 | $10,000 | thousands by filing date | principal |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 2,304 | $10,000 | thousands by filing date | |
| SUSTAINABLE OPPORTNTS ACQ CO | G8598Y117 | W EXP 99/99/999 | 5,525 | $10,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 38,345 | $10,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 2,422 | $10,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 551 | $10,000 | thousands by filing date | |
| POLISHED COM INC | 28252C109 | CMN | 1,430 | $10,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019101 | CMN | 1,000 | $10,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 2,586 | $10,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255807 | COM | 5,776 | $10,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 1,950 | $10,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,931 | $10,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M133 | UNIT 05/10/2024 | 899 | $10,000 | thousands by filing date | |
| NOVUS CAP CORP COM | 67012U108 | Stock | 856 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A537 | CBOE VEST S&P | 230 | $10,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 4,710 | $10,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 1,427 | $10,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 390 | $10,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 17,605 | $10,000 | thousands by filing date | |
| PECK CO HLDGS INC | 705163103 | COM NEW | 1,395 | $10,000 | thousands by filing date | |
| GIGCAPITAL3 INC | 37519D107 | COM | 1,040 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 715 | $10,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 711 | $10,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130123 | UNIT 03/01/2024 | 968 | $10,000 | thousands by filing date | |
| GIGCAPITAL3 INC | 37519D206 | UNIT 99/99/9999 | 940 | $10,000 | thousands by filing date | |
| RBB FD INC | 74933W601 | MOTLEY FOL ETF | 297 | $9,000 | thousands by filing date | |
| ZOOMINFO TECHNOLOGIES INC COMMON STOCK | 98980F104 | Stock | 200 | $9,000 | thousands by filing date | put |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 100 | $9,000 | thousands by filing date | put |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 385 | $9,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 2,168 | $9,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 384 | $9,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 1,575 | $9,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 715 | $9,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 860 | $9,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 736 | $9,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 1,471 | $9,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 590 | $9,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 5,196 | $9,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 961 | $9,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R502 | COM NEW | 984 | $9,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 293 | $9,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 346 | $9,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 900 | $9,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 903 | $9,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 1,097 | $9,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 1,310 | $9,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 760 | $9,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 3,674 | $9,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 2,414 | $9,000 | thousands by filing date | |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 634 | $9,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,000 | $9,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 502 | $9,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 880 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 136 | $9,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 495 | $9,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 3,348 | $9,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F813 | ACTV FCTR MDCP | 500 | $9,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 1,396 | $9,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 720 | $9,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,339 | $9,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 1,274 | $9,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 6,724 | $9,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,530 | $9,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 999 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051259 | XTRACKERS HIGH | 188 | $9,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,421 | $9,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 3,855 | $9,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y300 | ADR NEW | 804 | $9,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 10,000 | $9,000 | thousands by filing date | principal |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 9,000 | $9,000 | thousands by filing date | principal |
| ALUSSA ENERGY ACQUISITION CO | G0232J101 | SHS CL A | 891 | $9,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,608 | $9,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 848 | $9,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 623 | $9,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F770 | CONV | 200 | $9,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 2,807 | $9,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 21,769 | $9,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,084 | $9,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 343 | $9,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 336 | $9,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 8,226 | $9,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 1,321 | $9,000 | thousands by filing date | |
| IMMATICS N.V | N44445117 | *W EXP 07/01/202 | 2,468 | $9,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 2,441 | $9,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $9,000 | thousands by filing date | principal |
| LIMINAL BIOSCIENCES INC | 53272L103 | COM | 804 | $9,000 | thousands by filing date | |
| 1895 BANCORP OF WIS INC COM | 28252W105 | Stock | 1,023 | $9,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 5,236 | $9,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 10,000 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B318 | S&P 500 BD ETF | 98 | $9,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 570 | $9,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 8,085 | $9,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P125 | W EXP 10/12/202 | 32,358 | $9,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 318 | $9,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C112 | W EXP 09/05/202 | 4,024 | $9,000 | thousands by filing date | |
| SOFTWARE ACQUISITION GROUP I | 83406B101 | COM CL A | 863 | $9,000 | thousands by filing date | |
| Kaspien Holdings Inc | 485837108 | COM | 1,142 | $9,000 | thousands by filing date | |
| TD HLDGS INC COM NEW | 87250W103 | Stock | 3,356 | $9,000 | thousands by filing date | |
| CITIC CAPITAL ACQUISITION CO | G21513117 | *W EXP 01/17/202 | 6,923 | $9,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015503 | COM | 9,401 | $9,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 2,515 | $9,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 230 | $9,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 788 | $9,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CORP COM | 46186M506 | Stock | 6,303 | $9,000 | thousands by filing date | |
| PUHUI WEALTH INVT MGMT CO LT | G7306H101 | SHS | 3,162 | $9,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 9,000 | $9,000 | thousands by filing date | principal |
| BANK OF MONTREAL | 063679674 | ENT LKD 39 | 191 | $9,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q204 | Cmn | 786 | $9,000 | thousands by filing date | |
| MONAKER GROUP INC | 609011200 | COM NEW | 3,914 | $9,000 | thousands by filing date | |
| CASTOR MARITIME INC | Y1146L109 | SHS | 57,535 | $9,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K209 | UNIT 06/01/2025 | 694 | $9,000 | thousands by filing date | |
| MOUNTAIN CREST ACQUISITION C | 62401M205 | UNIT 03/19/2025 | 837 | $9,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X159 | SHS NEW | 4,203 | $9,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E647 | MKT HLDGS I VELCTYSHS USDAUD | 530 | $9,000 | thousands by filing date | |
| iShares 0-3 Month Treasury Bond ETF | 46436E718 | SHS | 80 | $8,000 | thousands by filing date | |
| SP Funds Dow Jones Global Sukuk ETF | 886364702 | SHS | 380 | $8,000 | 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 |