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 |
|---|---|---|---|---|---|---|
| AMERICANRLTYINVSINC | 029174109 | STOK | 891 | $8,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 810 | $8,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 500 | $8,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 398 | $8,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 103 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 156 | $8,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 5,937 | $8,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,210 | $8,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 2,076 | $8,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 2,296 | $8,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 984 | $8,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 517 | $8,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C474 | US SML CP PWR B | 315 | $8,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 314 | $8,000 | thousands by filing date | |
| ORIGIN BANCORP INC | 68621T102 | COMMON STOCK | 384 | $8,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 581 | $8,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 1,202 | $8,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,179 | $8,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2,996 | $8,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,154 | $8,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 3,000 | $8,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,200 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 333 | $8,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 3,322 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 266 | $8,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 1,869 | $8,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 2,990 | $8,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W580 | INFLATION HEDG | 288 | $8,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,070 | $8,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 7,973 | $8,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,614 | $8,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 4,466 | $8,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 1,052 | $8,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 6,333 | $8,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,138 | $8,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 797 | $8,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 752 | $8,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 4,622 | $8,000 | thousands by filing date | |
| QNITY ELECTRONICS INC | 817323207 | COM | 1,397 | $8,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 6,709 | $8,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,607 | $8,000 | thousands by filing date | |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 8,000 | $8,000 | thousands by filing date | principal |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 8,000 | $8,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 6,000 | $8,000 | thousands by filing date | principal |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 7,000 | $8,000 | thousands by filing date | principal |
| NEWBORN ACQUISITION CORP | G6463T106 | SHS | 800 | $8,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 8,000 | $8,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,255 | $8,000 | thousands by filing date | |
| 8X8 INC NEW | 282914AB6 | BOND | 9,000 | $8,000 | thousands by filing date | principal |
| ALTERYX INC | 02156BAD5 | BOND | 8,000 | $8,000 | thousands by filing date | principal |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 1,319 | $8,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 5,865 | $8,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 592 | $8,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 3,452 | $8,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 739 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,390 | $8,000 | thousands by filing date | |
| MOGU INC SPON ADS | 608012100 | ADR | 3,276 | $8,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 8,000 | $8,000 | thousands by filing date | principal |
| CREATD INC | 225265107 | COM | 2,934 | $8,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 14,212 | $8,000 | thousands by filing date | |
| CINCINNATI BANCORP INC | 17187C102 | COM | 817 | $8,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 5,307 | $8,000 | thousands by filing date | |
| MIND TECHNOLOGY INC COM NEW | 602566101 | Stock | 3,795 | $8,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 1,469 | $8,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 4,425 | $8,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 9,930 | $8,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 8,000 | $8,000 | thousands by filing date | principal |
| ALARUM TECHNOLOGIES LTD SPONSORD ADS NEW | 78643B401 | ADR | 7,404 | $8,000 | thousands by filing date | |
| SHINECO INC | 824567309 | COM | 3,046 | $8,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 581 | $8,000 | thousands by filing date | |
| TOUGHBUILT INDS INC | 89157G116 | *W EXP 11/14/202 | 132,784 | $8,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 3,574 | $8,000 | thousands by filing date | |
| GALILEO ACQUISITION CORP | G3770A102 | SHS | 787 | $8,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,307 | $8,000 | thousands by filing date | |
| INPIXON | 45790J800 | COM | 7,097 | $8,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 773 | $8,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 9,000 | $8,000 | thousands by filing date | principal |
| AMERANT BANCORP INC | 023576200 | CL B | 1,019 | $8,000 | thousands by filing date | |
| CBM BANCORP INC | 1248XT104 | COM | 622 | $8,000 | thousands by filing date | |
| IMGP DBI MANAGED FUTURES STRATEGY ETF | 56170L828 | ETF | 310 | $8,000 | thousands by filing date | |
| INFUSIVE US TR | 45687D106 | COMPUNDING EQT | 280 | $8,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 6,514 | $8,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 856 | $8,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G202 | UNIT 10/28/2024 | 763 | $8,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 1,847 | $8,000 | thousands by filing date | |
| GIGCAPITAL2 INC | 375036209 | UNIT 02/28/2026 | 736 | $8,000 | thousands by filing date | |
| PROPTECH ACQUISITION CORP | 74349F101 | COM CL A | 683 | $8,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 296 | $8,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 526 | $8,000 | thousands by filing date | |
| 8I ENTERPRISES ACQUISITIN CO | G2956M138 | UNIT 99/99/9999 | 730 | $8,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 2,488 | $7,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 500 | $7,000 | thousands by filing date | put |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 3,505 | $7,000 | thousands by filing date | |
| SELECTQUOTE INC | 816307300 | COM | 350 | $7,000 | thousands by filing date | |
| KYMERA THERAPEUTICS INC | 501575104 | COM | 231 | $7,000 | thousands by filing date | |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 491 | $7,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 210 | $7,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 486 | $7,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 500 | $7,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 763 | $7,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 597 | $7,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 615 | $7,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 1,210 | $7,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 2,507 | $7,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 738 | $7,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 295 | $7,000 | thousands by filing date | |
| DIREXION SHS TR ETF DAILY S&P OIL & GAS EXP & PROD BULL 2X | 25460G500 | ETF | 325 | $7,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 750 | $7,000 | thousands by filing date | |
| LISTED FDS TR | 53656F847 | CORE ALT FD | 238 | $7,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 6,553 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P863 | CALIF MUN INCM | 139 | $7,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 760 | $7,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 257 | $7,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 628 | $7,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 692 | $7,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 2,201 | $7,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 2,458 | $7,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,538 | $7,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 700 | $7,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 3,366 | $7,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P637 | FTSE JAPAN HDG | 272 | $7,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 401 | $7,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 980 | $7,000 | thousands by filing date | |
| AMRYT PHARMA LTD - SPNR ADR | 03217L106 | COMMON EQUITY | 592 | $7,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 2,181 | $7,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 11,702 | $7,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 2,000 | $7,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 1,290 | $7,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 8,127 | $7,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 165 | $7,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 846 | $7,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 6,282 | $7,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 7,459 | $7,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 1,076 | $7,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 6,330 | $7,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061821 | CANNABIS ETF | 596 | $7,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 329 | $7,000 | thousands by filing date | |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 7,000 | $7,000 | thousands by filing date | principal |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 7,000 | $7,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 6,000 | $7,000 | thousands by filing date | principal |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 8,000 | $7,000 | thousands by filing date | principal |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 8,000 | $7,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 7,000 | $7,000 | thousands by filing date | principal |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 6,000 | $7,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 8,000 | $7,000 | thousands by filing date | principal |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 794 | $7,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 7,000 | $7,000 | thousands by filing date | principal |
| ORGENESIS INC | 68619K204 | COM | 1,451 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P613 | FUND | 216 | $7,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 451 | $7,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 1,902 | $7,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 515 | $7,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 141 | $7,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 685 | $7,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 708 | $7,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 848 | $7,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 592 | $7,000 | thousands by filing date | |
| NULL | 09071M205 | NULL | 4,174 | $7,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 3,979 | $7,000 | thousands by filing date | |
| LIZHI INC | 53933L104 | ADS | 3,096 | $7,000 | thousands by filing date | |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 3,960 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 333 | $7,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 4,491 | $7,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 3,862 | $7,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 2,225 | $7,000 | thousands by filing date | |
| OLB Group Inc | 67086U307 | COM | 1,896 | $7,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 5,285 | $7,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 1,120 | $7,000 | thousands by filing date | |
| OAKTREE ACQUISITION CORP | G67145105 | SHS CL A | 636 | $7,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 2,705 | $7,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 9,629 | $7,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 64,039 | $7,000 | thousands by filing date | |
| Kintara Therapeutics, Inc. | 49720K101 | Equities | 5,188 | $7,000 | thousands by filing date | |
| HALL OF FAME RESORT & ENTMT | 40619L102 | COM | 2,932 | $7,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 709 | $7,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 9,722 | $7,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 1,784 | $7,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 27,300 | $7,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 4,796 | $7,000 | thousands by filing date | |
| GREENPRO CAP CORP COM NEW | 39540F101 | Stock | 4,583 | $7,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 9,217 | $7,000 | thousands by filing date | |
| STABLE RD ACQUISITION CORP | 85236Q117 | *W EXP 05/15/202 | 6,045 | $7,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 100 | $7,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L100 | US EQT CUM 2027 | 768 | $7,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 4,692 | $7,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 648 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A461 | AI PWD INTL EQTY | 242 | $7,000 | thousands by filing date | |
| BOQII HLDG LTD | 09950L104 | SPONSORED ADS | 1,001 | $7,000 | thousands by filing date | |
| ALBERTON ACQUISITION CORP | G35006108 | ORD SHS | 661 | $7,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402q100 | COM | 674 | $7,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 391 | $7,000 | thousands by filing date | |
| DFP HEALTHCARE ACQUISITNS CO | 23343Q209 | UNIT 03/31/2025 | 702 | $7,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679682 | NT LKD 39 | 135 | $7,000 | thousands by filing date | |
| AMPLITUDE HEALTHCARE ACQUISITI | 03212a105 | COM | 657 | $7,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G103 | COM | 738 | $7,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108862 | CRWDBURAU PEER | 536 | $7,000 | thousands by filing date | |
| TENZING ACQUISITION CORP | G8708A124 | UNIT 08/24/2024 | 659 | $7,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 100 | $6,000 | thousands by filing date | put |
| ALEXANDERS INC COM | 014752109 | REIT | 25 | $6,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 2,839 | $6,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 172 | $6,000 | thousands by filing date | |
| TIDAL ETF TR | 886364603 | RPAR RISK PARI | 266 | $6,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 331 | $6,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1,198 | $6,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 501 | $6,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 59 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 245 | $6,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 1,880 | $6,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 965 | $6,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 776 | $6,000 | thousands by filing date | |
| VALHI INC | 918905209 | COMMON STOCK | 464 | $6,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 271 | $6,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 1,950 | $6,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 4,105 | $6,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 300 | $6,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 500 | $6,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 150 | $6,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,863 | $6,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 585 | $6,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 3,173 | $6,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 431 | $6,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 300 | $6,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONALMULTIFACTOR FUND | 97717Y774 | ETF | 267 | $6,000 | thousands by filing date | |
| BLACK DIAMOND THERAPEUTICS I | 09203E105 | COM | 197 | $6,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,690 | $6,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 2,865 | $6,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,413 | $6,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 1,509 | $6,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 2,075 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 187 | $6,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 1,922 | $6,000 | thousands by filing date | |
| SKILLFUL CRAFTSMAN ED TECH L | G8211A108 | ORD SHS | 2,026 | $6,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 116 | $6,000 | thousands by filing date | |
| NATUZZI S P A | 63905A200 | SPON ADS | 3,367 | $6,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 210 | $6,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 2,226 | $6,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 769 | $6,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 11,786 | $6,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 505 | $6,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 279 | $6,000 | thousands by filing date | |
| ISHARES TR | 46435U333 | FOCUSD VAL FAC | 200 | $6,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,614 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 359 | $6,000 | thousands by filing date | |
| X FINL SPONSORED ADS | 98372W103 | ADR | 12,323 | $6,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 6,000 | $6,000 | thousands by filing date | principal |
| PLURALSIGHT INC | 72941BAB2 | NOTE 0.375% 3/0 | 7,000 | $6,000 | thousands by filing date | principal |
| SUNWORKS INC | 86803X204 | COMMON STOCK | 2,321 | $6,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AE5 | BOND | 5,000 | $6,000 | thousands by filing date | principal |
| SALISBURY BANCORP INC | 795226109 | COM | 192 | $6,000 | thousands by filing date | |
| KBR INC | 48242WAB2 | BOND | 5,000 | $6,000 | thousands by filing date | principal |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 8,000 | $6,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06746P431 | FUND | 140 | $6,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 1,210 | $6,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 1,491 | $6,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 10,158 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 3,774 | $6,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,352 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 178 | $6,000 | thousands by filing date | |
| LISTED FD TR | 53656F664 | TRUESHARES STRCT | 228 | $6,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 1,374 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $6,000 | thousands by filing date | principal |
| SYNLOGIC INC | 87166L100 | COM | 3,122 | $6,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 2,434 | $6,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 472 | $6,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 5,424 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 282 | $6,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 2,448 | $6,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 11,641 | $6,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K116 | *W EXP 04/16/202 | 2,641 | $6,000 | thousands by filing date | |
| LONGVIEW ACQUISITION CORP | 543195119 | *W EXP 05/27/202 | 6,313 | $6,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A103 | COM | 645 | $6,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C109 | COM CL A | 570 | $6,000 | thousands by filing date | |
| REVIVA PHARMACEUTCLS HLDGS INC WT EXP 122525 | G8708A108 | Stock | 12,369 | $6,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 5,874 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A677 | NATIONWIDE ETF | 199 | $6,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643202 | UNIT 05/31/2024 | 525 | $6,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 2,000 | $6,000 | thousands by filing date | principal |
| CHARDAN HEALTHCR ACQSTN 2 CO | 15957T107 | COM | 574 | $6,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E571 | VELCTYSHS EURUSD | 205 | $6,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E480 | VELCTYSHS USDEUR | 349 | $6,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C203 | UNIT 99/99/9999 | 504 | $6,000 | thousands by filing date | |
| ORISUN ACQUISITION CORP | 68632T208 | UNIT 99/99/9999 | 600 | $6,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CORP | 80821R208 | UNIT EX 123123 | 635 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 167 | $5,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740U208 | FT VEST US EQT | 149 | $5,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 321 | $5,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 2,407 | $5,000 | thousands by filing date | |
| BANK FIRST CORP | 06211J100 | COM | 84 | $5,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 10,060 | $5,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 1,000 | $5,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 991 | $5,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 100 | $5,000 | thousands by filing date | put |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D606 | LNG DUR OPRTUN | 177 | $5,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 877 | $5,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 2,062 | $5,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 198 | $5,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 1,753 | $5,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 456 | $5,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 250 | $5,000 | thousands by filing date | |
| ADC THERAPEUTICS SA | H0036K147 | COMMON STOCK | 141 | $5,000 | thousands by filing date | |
| DUOS TECHNOLOGIES GROUP INC | 266042407 | COMMON STOCK | 1,203 | $5,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 2,431 | $5,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 931 | $5,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 1,169 | $5,000 | thousands by filing date | |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 1,596 | $5,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 225 | $5,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 338 | $5,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120202 | COM NEW | 1,637 | $5,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 836 | $5,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q105 | SIMP AF WORL ETF | 257 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P546 | SYSTMTC STYL PRE | 200 | $5,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 795 | $5,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q700 | COM | 2,602 | $5,000 | thousands by filing date | |
| LAIRD SUPERFOOD INC | 50736T102 | CMN | 100 | $5,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 441 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 138 | $5,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 4,071 | $5,000 | thousands by filing date | |
| PACER FDS TR | 69374H659 | CASH COWS ETF | 225 | $5,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 7,385 | $5,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 731 | $5,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 263 | $5,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 251 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90269A260 | ETRA QUA PAY BDC | 200 | $5,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 1,568 | $5,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 4,123 | $5,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 98 | $5,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 2,673 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435U184 | IBONDS 24 TRM HG | 229 | $5,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 5,000 | $5,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| XCEL BRANDS INC | 98400M101 | COM NEW | 6,186 | $5,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 7,485 | $5,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 8,260 | $5,000 | thousands by filing date | |
| HEPION PHARMACEUTICALS INC | 426897104 | COM | 1,591 | $5,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 3,614 | $5,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 4,300 | $5,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 4,099 | $5,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 1,162 | $5,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,000 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 259 | $5,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 6,424 | $5,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 1,785 | $5,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 5,152 | $5,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 1,302 | $5,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 1,000 | $5,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 166 | $5,000 | thousands by filing date | |
| METACRINE INC | 59101E103 | COM | 515 | $5,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 4,207 | $5,000 | thousands by filing date | |
| AYALA PHARMACEUTICALS INC | 05465V108 | COM | 417 | $5,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 2,954 | $5,000 | thousands by filing date | |
| GREENCITY ACQUISITION CORP | G4086B107 | COM | 499 | $5,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 4,174 | $5,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 1,900 | $5,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 6,000 | $5,000 | thousands by filing date | principal |
| IBIO INC | 451033203 | COM NEW | 2,679 | $5,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 3,405 | $5,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 1,401 | $5,000 | thousands by filing date | |
| PLANET GREEN HLDGS CORP | 72703U102 | COM | 2,330 | $5,000 | thousands by filing date | |
| ZHONGCHAO INC | G9897X107 | CL A | 2,616 | $5,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 1,069 | $5,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 8,684 | $5,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVT CORP | 443761119 | *W EXP 06/21/202 | 4,200 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 147 | $5,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 387 | $5,000 | thousands by filing date | |
| ANPAC BIO MED SCIENCE CO LTD | 03635R107 | cs | 1,397 | $5,000 | thousands by filing date | |
| MOLECULAR DATA INC | 60852L106 | SPONSORED ADS | 4,306 | $5,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P503 | DELTASHS S&P | 100 | $5,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 520 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J684 | BULLSHS 21 USD | 214 | $5,000 | thousands by filing date | |
| RUSH STREET INTERACTIVE INC | 233253103 | COM | 400 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 495 | $5,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 460 | $5,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 448 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 507 | $5,000 | thousands by filing date | |
| NEWGIOCO GROUP INC | 65136T205 | COM NEW | 2,344 | $5,000 | thousands by filing date | |
| LIVE OAK ACQUISITION CORP UNIT | 53804F202 | Common Stock | 458 | $5,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430321 | FINANCE REIMAGI | 80 | $5,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 825 | $4,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 1,751 | $4,000 | thousands by filing date | |
| AUDIOEYE INC | 050734201 | COM NEW | 306 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 137 | $4,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 100 | $4,000 | thousands by filing date | put |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,737 | $4,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 355 | $4,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 163 | $4,000 | thousands by filing date | |
| BIG SKY INDL INC | 911805307 | COM | 864 | $4,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 137 | $4,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 100 | $4,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 98 | $4,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 107 | $4,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C516 | EMRGNG MKT JAN | 135 | $4,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 470 | $4,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 99 | $4,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 1,144 | $4,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 2,921 | $4,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 857 | $4,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 600 | $4,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 600 | $4,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 506 | $4,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 165 | $4,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 242 | $4,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 525 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 152 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X172 | US HGH YLD CORP | 82 | $4,000 | thousands by filing date | |
| ISHARES ESG AWARE 40/60 MODERATE ALLOCATION ETF | 46436E684 | UIT EXCHANGE TRADED | 166 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $4,000 | thousands by filing date | principal |
| ABRDN ETFS | 003261203 | BBRG ALL COMMDY | 193 | $4,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 2,024 | $4,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 336 | $4,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 657 | $4,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 213 | $4,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,426 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 133 | $4,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072208 | CMN | 110 | $4,000 | thousands by filing date | |
| BRAINSWAY LTD | 10501L106 | CMN | 617 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E711 | CMN | 162 | $4,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R603 | CMN | 121 | $4,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 9,916 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 185 | $4,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 2,578 | $4,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 690 | $4,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 412 | $4,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 592 | $4,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 3,406 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 169 | $4,000 | thousands by filing date | |
| LISTED FDS TR | 53656F854 | SHARES MUNI DB | 168 | $4,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 299 | $4,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,040 | $4,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 1,052 | $4,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 585 | $4,000 | thousands by filing date | |
| ORUKA THERAPEUTICS INC COM | 00211Y506 | Stock | 927 | $4,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 3,342 | $4,000 | thousands by filing date | |
| Leuthold Core ETF | 527289789 | ETF | 147 | $4,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 1,609 | $4,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 25,809 | $4,000 | thousands by filing date | |
| GREENROSE HOLDING CO INC/THE | 395392202 | COM | 400 | $4,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 4,000 | $4,000 | thousands by filing date | principal |
| IDEANOMICS INC | 45166V106 | COM | 3,935 | $4,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 948 | $4,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 717 | $4,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 2,449 | $4,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 350 | $4,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 255 | $4,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 6,683 | $4,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 5,041 | $4,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 4,394 | $4,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 691 | $4,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 575 | $4,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 1,962 | $4,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L810 | WESTN ASET TTL | 153 | $4,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 5,000 | $4,000 | thousands by filing date | principal |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 5,470 | $4,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 137 | $4,000 | thousands by filing date | |
| WISA TECHNOLOGIES INC | 86633R203 | COM NEW | 1,785 | $4,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 1,873 | $4,000 | thousands by filing date | |
| TIMBER PHARMACEUTICALS INC | 887080109 | COM | 3,621 | $4,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 1,861 | $4,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 1,400 | $4,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 325 | $4,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 640 | $4,000 | thousands by filing date | |
| MALACCA STRAITS ACQUISITION | G5859B125 | UNIT 99/99/9999 | 420 | $4,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 200 | $4,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 5,700 | $4,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 2,000 | $4,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 2,872 | $4,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 447 | $4,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 1,111 | $4,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 328 | $4,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 1,101 | $4,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L118 | W EXP 03/04/202 | 143 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 1,781 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y733 | INDIA EX STATE | 153 | $4,000 | thousands by filing date | |
| SINGULARITY FUTURE TECH LTD | 82935V208 | CMN | 2,638 | $4,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 13,950 | $4,000 | thousands by filing date | |
| MEDIGUS LTD SPON ADS NEW | 58471G300 | ADR | 2,673 | $4,000 | thousands by filing date | |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 6,000 | $4,000 | thousands by filing date | principal |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 2,920 | $4,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 74 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E479 | PURBTA FTSE EM | 155 | $4,000 | thousands by filing date | |
| D8 HOLDINGS CORP | G2614K110 | SHS CL A | 400 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y461 | DORSY ALPH EQL | 179 | $4,000 | thousands by filing date | |
| BIT ORIGIN LTD | G21621100 | SHS | 5,786 | $4,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P118 | *W EXP 03/13/202 | 1,689 | $4,000 | thousands by filing date | |
| FANGDD NETWORK GROUP LTD | 30712L109 | SPONSORED ADS | 560 | $4,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 80 | $4,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 2,065 | $4,000 | thousands by filing date | |
| YUNHONG INTERNATIONAL | g98882106 | COM | 392 | $4,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 599 | $4,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 4,200 | $4,000 | thousands by filing date | |
| INDUSTRIAL TECH ACQU INC | 456357201 | UNIT 08/31/2025 | 392 | $4,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP III | G04415132 | RIGHT 10/01/2025 | 11,712 | $4,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP III | G04415116 | UNIT 09/24/2020 | 321 | $4,000 | thousands by filing date | |
| STABLE RD ACQUISITION CORP | 85236Q208 | UNIT 05/15/2026 | 356 | $4,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085206 | UNIT 12/31/2026 | 360 | $4,000 | thousands by filing date | |
| FS DEV CORP | 303020101 | COM CL A | 344 | $4,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A115 | *W EXP 08/01/202 | 2,844 | $4,000 | 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 |