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 |
|---|---|---|---|---|---|---|
| VANECK VECTORS ETF TR | 92189H888 | COAL ETF | 55 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430297 | HUMAN EVOLUTION | 64 | $4,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 5,000 | $4,000 | thousands by filing date | principal |
| SPDR S&P 500 ESG ETF | 78468R531 | SHS | 82 | $3,000 | thousands by filing date | |
| JAKKS PAC INC | 47012E403 | COM NEW | 882 | $3,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 597 | $3,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 258 | $3,000 | thousands by filing date | |
| GFL ENVIRONMENTAL INC SUB VTG SHS | 36168Q104 | Stock | 123 | $3,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 564 | $3,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 390 | $3,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 250 | $3,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 1,051 | $3,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,249 | $3,000 | thousands by filing date | |
| FRANCHISE GROUP INC | 35180X105 | COM | 120 | $3,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 490 | $3,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N535 | SHORT TRM BD ETF | 58 | $3,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 4,028 | $3,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 74 | $3,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C714 | EMRGNG MKT JULY | 123 | $3,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 200 | $3,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC | 37959R103 | COM CL A | 154 | $3,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 192 | $3,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 301 | $3,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 100 | $3,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 45 | $3,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 1,234 | $3,000 | thousands by filing date | |
| PROCURE SPACE ETF | 74280R205 | ETF | 124 | $3,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C821 | US EQTY ULTRA B | 132 | $3,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 864 | $3,000 | thousands by filing date | |
| TIDAL TR III ETF IMPACT SHARES WOMEN'S EMPOWERMENT | 45259A100 | ETF | 114 | $3,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF FEBRUARY | 45782C425 | ETF | 100 | $3,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 592 | $3,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 307 | $3,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 50 | $3,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,500 | $3,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 938 | $3,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 2,002 | $3,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 3,367 | $3,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 575 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R738 | CMN | 142 | $3,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P611 | CMN | 124 | $3,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,055 | $3,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 1,084 | $3,000 | thousands by filing date | |
| ARROW INVTS TR | 042765719 | RESV CAP ETF | 25 | $3,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 1,673 | $3,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 1,766 | $3,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 215 | $3,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 1,198 | $3,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 991 | $3,000 | thousands by filing date | |
| WHITING PETROLEUM CORP | 966387508 | COMMON STOCK | 196 | $3,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q733 | ANFIELD US EQU | 304 | $3,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 735 | $3,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 837 | $3,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,368 | $3,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 4,474 | $3,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 919 | $3,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 2,267 | $3,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 7,149 | $3,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 28,525 | $3,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,907 | $3,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 1,300 | $3,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAD4 | NOTE 2.000% 8/1 | 1,000 | $3,000 | thousands by filing date | principal |
| SIERRA METALS INC | 82639W106 | COM | 1,872 | $3,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 1,034 | $3,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 284 | $3,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 599 | $3,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 600 | $3,000 | thousands by filing date | |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 1,130 | $3,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 258 | $3,000 | thousands by filing date | |
| LION GROUP HOLDING LTD | 53620U102 | ADR | 1,128 | $3,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 1,019 | $3,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 624 | $3,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 492 | $3,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,100 | $3,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 839 | $3,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 304 | $3,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 1,792 | $3,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 1,321 | $3,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 1,663 | $3,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 3,552 | $3,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 1,158 | $3,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J119 | *W EXP 11/19/202 | 16,410 | $3,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 5,000 | $3,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 100 | $3,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 1,500 | $3,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 3,000 | $3,000 | thousands by filing date | principal |
| BBX CAP CORP NEW | 05491N302 | CL A | 185 | $3,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 3,383 | $3,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 831 | $3,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G114 | WTS | 3,000 | $3,000 | thousands by filing date | |
| CHINA LIBERAL ED HLDGS LTD | G2161Y109 | ORD | 514 | $3,000 | thousands by filing date | |
| GLORY STAR NEW MED GP HLDG L | G39973105 | SHS | 1,124 | $3,000 | thousands by filing date | |
| Sigma Additive Solutions, Inc. | 826598500 | common | 1,147 | $3,000 | thousands by filing date | |
| SUNDANCE ENERGY INC | 86725N102 | COM | 1,364 | $3,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 13,026 | $3,000 | thousands by filing date | |
| FUSION ACQUISITION CORP | 36118H113 | *W EXP 06/01/202 | 2,921 | $3,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T109 | COM CL A | 295 | $3,000 | thousands by filing date | |
| BROADSTONE ACQUISITION CORP | G1739V118 | UNIT 99/99/9999 | 300 | $3,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 1,841 | $3,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 753 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 116 | $3,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D124 | UNIT 12/31/2026 | 282 | $3,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 6,378 | $3,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,238 | $3,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 334 | $3,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 4,438 | $3,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,242 | $3,000 | thousands by filing date | |
| ALPHA HEALTHCARE ACQUISTN CO | 020751202 | UNIT 10/01/2023 | 352 | $3,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G114 | *W EXP 07/02/202 | 1,246 | $3,000 | thousands by filing date | |
| ISHARES TR | 46436E783 | FACTORS US MID | 100 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347G820 | PSHS CONSUMR GD | 278 | $3,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K116 | *W EXP 06/22/202 | 1,413 | $3,000 | thousands by filing date | |
| NEWBORN ACQUISITION CORP | G6463T130 | UNIT 99/99/9999 | 311 | $3,000 | thousands by filing date | |
| TIGERSHARES TR | 88680T108 | UP FINTC CHIN US | 77 | $3,000 | thousands by filing date | |
| HEALTHCARE MERGER CORP | 42227L201 | UNIT 12/17/2021 | 322 | $3,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 2,049 | $3,000 | thousands by filing date | |
| HEXINDAI INC | 428295208 | ADR NEW | 1,704 | $3,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J202 | SPONSORD ADS NEW | 308 | $3,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q399 | BETABUILDRS US | 26 | $2,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 246 | $2,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 2,416 | $2,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 81 | $2,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 99 | $2,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 138 | $2,000 | thousands by filing date | |
| VERTEX INC | 92538J106 | CL A | 100 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 21 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 58 | $2,000 | thousands by filing date | |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 105 | $2,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 866 | $2,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 223 | $2,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 12 | $2,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 426 | $2,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 122 | $2,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 730 | $2,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 508 | $2,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 382 | $2,000 | thousands by filing date | |
| US GOLD CORP | 90291C201 | COMMON STOCK | 217 | $2,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 165 | $2,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 566 | $2,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 150 | $2,000 | thousands by filing date | |
| MYOMO INC | 62857J201 | COM NEW | 545 | $2,000 | thousands by filing date | |
| INTL GNRL INSURANCE HLDNGS L | G4809J106 | SHS | 336 | $2,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 50 | $2,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 1,518 | $2,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 51 | $2,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 15,443 | $2,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 10,958 | $2,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 138 | $2,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 130 | $2,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 96 | $2,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 931 | $2,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 270 | $2,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 306 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E872 | CMN | 67 | $2,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 652 | $2,000 | thousands by filing date | |
| GENERATION BIO CO | 37148K100 | COM | 49 | $2,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 700 | $2,000 | thousands by filing date | |
| ALTSHARES TRUST | 02210T108 | MERGER ARBITRAGE | 80 | $2,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 855 | $2,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 175 | $2,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C235 | INVATR 20 PLS 9 | 91 | $2,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 682 | $2,000 | thousands by filing date | |
| LANTERN PHARMA INC | 51654W101 | COM | 112 | $2,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 200 | $2,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 266 | $2,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 113 | $2,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 207 | $2,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 1,250 | $2,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 6,000 | $2,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 75 | $2,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 273 | $2,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 928 | $2,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 478 | $2,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 512 | $2,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 90 | $2,000 | thousands by filing date | |
| COLLPLANT BIOTECHNOLOGIES LTD SHS NEW | 19516R107 | Stock | 273 | $2,000 | thousands by filing date | |
| AXE COMPUTE INC COM NEW | 74039M200 | Stock | 2,721 | $2,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 228 | $2,000 | thousands by filing date | |
| ISHARES TR | 46436E874 | IBONDS 24 TRM TS | 66 | $2,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 400 | $2,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 1,036 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E347 | S&P500 MIN VAR | 56 | $2,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,709 | $2,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 2,000 | $2,000 | thousands by filing date | principal |
| YIELD10 BIOSCIENCE INC | 98585K862 | COM | 283 | $2,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 231 | $2,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 538 | $2,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 1,448 | $2,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 2,134 | $2,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 244 | $2,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 129 | $2,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 574 | $2,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 652 | $2,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 1,693 | $2,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 423 | $2,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 198 | $2,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 2,337 | $2,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,455 | $2,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 229 | $2,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 768 | $2,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 96 | $2,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 225 | $2,000 | thousands by filing date | |
| HALL OF FAME RESORT & ENTMT | 40619L110 | *W EXP 07/01/202 | 5,846 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A172 | NATIONWIDE NASDQ | 74 | $2,000 | thousands by filing date | |
| GREEN GIANT INC | 16948W209 | COM NEW | 2,233 | $2,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,480 | $2,000 | thousands by filing date | |
| COLOR STAR TECHNOLOGY CO LTD | G2287A100 | SHS NEW | 4,426 | $2,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 6,901 | $2,000 | thousands by filing date | |
| HPX CORP | G32219100 | SHS CL A | 200 | $2,000 | thousands by filing date | |
| SADOT GROUP INC | 627333107 | COM | 1,692 | $2,000 | thousands by filing date | |
| CREATD INC | 225265115 | *W EXP 09/15/202 | 2,377 | $2,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 2,000 | $2,000 | thousands by filing date | principal |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 1,000 | $2,000 | thousands by filing date | principal |
| KBL MERGER CORP IV | 48242A112 | W EXP 01/15/202 | 9,435 | $2,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M110 | W EXP 07/25/202 | 343 | $2,000 | thousands by filing date | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 3,000 | $2,000 | thousands by filing date | |
| ENTREPRENEURSHARES SERIES TR | 293828885 | ERSHARES NEXTGEN | 120 | $2,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 448 | $2,000 | thousands by filing date | |
| Benitec Biopharma, Inc. | 08205P100 | common | 304 | $2,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 1,649 | $2,000 | thousands by filing date | |
| GLOBAL BETA ETF TR | 37959X100 | CMN | 156 | $2,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,500 | $2,000 | thousands by filing date | |
| BIOFRONTERA AG ADR | 09075G105 | COM | 199 | $2,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J204 | SPONSORED ADS NEW | 355 | $2,000 | thousands by filing date | |
| WISDOMTREE GROWTH LEADERS FUND | 97717Y717 | WT GRWTH LDRS | 67 | $2,000 | thousands by filing date | |
| DOGNESS INTERNATIONAL CORP | G2788T103 | COM CL A | 1,783 | $2,000 | thousands by filing date | |
| KRANESHARES TR | 500767819 | EMERGING MKTS | 70 | $2,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 407 | $2,000 | thousands by filing date | |
| GIGCAPITAL2 INC | 375036118 | *W EXP 02/28/202 | 2,354 | $2,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744112 | *W EXP 99/99/999 | 1,044 | $2,000 | thousands by filing date | |
| TAOPING INC | G8675V119 | SHS NEW | 734 | $2,000 | thousands by filing date | |
| POWERBRIDGE TECHNLOGIES CO LTD ORD SHS | G72007100 | ORD SHS | 701 | $2,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 1,608 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06747D700 | IPATH SLVR ETN A | 69 | $2,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CO | G3166W106 | COM CL A | 147 | $2,000 | thousands by filing date | |
| CODE CHAIN NEW CONTINENT LTD | 19200A105 | COM | 1,782 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 87 | $2,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 801 | $2,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 238 | $2,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 2,058 | $2,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 2,165 | $2,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F208 | UNIT 09/30/2025 | 200 | $2,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 399 | $2,000 | thousands by filing date | |
| YUNHONG INTL | G98882122 | *W EXP 01/31/202 | 8,492 | $2,000 | thousands by filing date | |
| MicroSectors FANG Index 2X Inverse Leveraged ETN | 063679849 | ETP | 316 | $2,000 | thousands by filing date | |
| ATIF HOLDINGS LIMITED | G0602B100 | SHS | 1,553 | $2,000 | thousands by filing date | |
| GIGCAPITAL3 INC | 37519D115 | *W EXP 05/18/202 | 3,400 | $2,000 | thousands by filing date | |
| COLLECTIVE GROWTH CORP | 19424L200 | UNIT 04/29/2025 | 149 | $2,000 | thousands by filing date | |
| CANCER GENETICS INC | 13739U203 | COM NEW | 558 | $2,000 | thousands by filing date | |
| INTERPRIVATE ACQUISITION COR | 46064A202 | UNIT 10/29/2024 | 233 | $2,000 | thousands by filing date | |
| HUDSON CAPITAL INC | G4645C109 | SHS | 5,778 | $2,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17326E704 | MKT HLDGS I VELCTYSHS CHFUSD | 88 | $2,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 32 | $1,000 | thousands by filing date | |
| INSPIRE INTERNATIONAL ETF | 66538H419 | ETF | 29 | $1,000 | thousands by filing date | |
| TORM PLC SHS CL A | G89479102 | Stock | 120 | $1,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 116 | $1,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 48 | $1,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 200 | $1,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 397 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 22 | $1,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A405 | SEIX SR LN ETF | 30 | $1,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108409 | CWP ENHANCED DIV | 48 | $1,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 43 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 394 | $1,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 577 | $1,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 126 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 37 | $1,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C318 | US EQTY PWR BUF | 50 | $1,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 203 | $1,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F789 | ACTIVE FACTOR LA | 26 | $1,000 | thousands by filing date | |
| AIM ETF PRODUCTS TRUST | 00888H208 | ALLIANZIM US EQT | 47 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 39 | $1,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 106 | $1,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 50 | $1,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 249 | $1,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 97 | $1,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 45 | $1,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 64 | $1,000 | thousands by filing date | |
| GREENWICH LIFESCIENCES INC | 396879108 | COMMON STOCK | 277 | $1,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 1,119 | $1,000 | thousands by filing date | |
| Hartford Municipal Opportnits ETF | 41653L503 | ETF | 25 | $1,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 349 | $1,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 10,556 | $1,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P595 | SENIOR LOAN ETF | 39 | $1,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 12 | $1,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592135 | COM | 530 | $1,000 | thousands by filing date | |
| HERITAGE GLOBAL INC | 42727E103 | COM | 602 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 29 | $1,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 128 | $1,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 75 | $1,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 100 | $1,000 | thousands by filing date | call |
| ETF SER SOLUTIONS | 26922A230 | HOYA CAP HOUSI | 46 | $1,000 | thousands by filing date | |
| Galiano Gold Inc | 36352H100 | COM | 1,062 | $1,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 390 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 49 | $1,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 182 | $1,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 1,238 | $1,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E661 | CMN | 80 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 36 | $1,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 284 | $1,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 74 | $1,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 347 | $1,000 | thousands by filing date | |
| SCIENJOY HOLDING CORP | G7864D112 | CLASS A ORD | 113 | $1,000 | thousands by filing date | |
| WESTWATER RES INC | 961684206 | COM NEW | 449 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051218 | XTRACKERS MSCI | 49 | $1,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061839 | TRINITY | 49 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 100 | $1,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 711 | $1,000 | thousands by filing date | |
| MEDIACO HLDG INC | 58450D104 | CL A | 521 | $1,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E798 | QRAFT AI ENHCD | 25 | $1,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E723 | ETC CABANA TARGT | 26 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 19 | $1,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 16 | $1,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 95 | $1,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 18 | $1,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 576 | $1,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 162 | $1,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 95 | $1,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 197 | $1,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 653 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 104 | $1,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 1,197 | $1,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 475 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G848 | VIRTUS WMC INTNL | 42 | $1,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 1,382 | $1,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 383 | $1,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 185 | $1,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P201 | COM | 688 | $1,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 400 | $1,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 361 | $1,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 227 | $1,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 700 | $1,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 100 | $1,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 337 | $1,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 591 | $1,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 98 | $1,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 148 | $1,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 1,000 | $1,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 1,000 | $1,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 50 | $1,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 638901306 | PFD | 42 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 100 | $1,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 19 | $1,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 226 | $1,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U209 | COM | 632 | $1,000 | thousands by filing date | |
| BROOGE ENERGY LTD | G1611B115 | *W EXP 12/20/202 | 1,800 | $1,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 40 | $1,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 2,000 | $1,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 6,118 | $1,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J200 | COM | 857 | $1,000 | thousands by filing date | |
| MERCURITY FINTECH HOLDING IN | 58936H109 | SPONSORED ADS | 527 | $1,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W303 | COM | 566 | $1,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W408 | COM NEW | 131 | $1,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K112 | *W EXP 02/12/202 | 6,705 | $1,000 | thousands by filing date | |
| TIDAL ETF TR | 886364207 | SOFI SELCT 500 | 109 | $1,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 153 | $1,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A586 | AAM S&P EMRG | 79 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R174 | *W EXP 11/14/202 | 4,207 | $1,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 3,224 | $1,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 500 | $1,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 16 | $1,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 1,340 | $1,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 4,982 | $1,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 1,112 | $1,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 141 | $1,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015131 | *W EXP 07/19/202 | 1,270 | $1,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 31 | $1,000 | thousands by filing date | |
| AKERNA CORP | 00973W110 | WTS | 3,000 | $1,000 | thousands by filing date | |
| INTL GNRL INSURANCE HLDNGS L | G4809J114 | WTS | 858 | $1,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 30 | $1,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 268 | $1,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E731 | CABANA TARGET 5 | 25 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T456 | ETN LKD 34 | 111 | $1,000 | thousands by filing date | |
| GORES HLDGS V INC | 382864106 | COM CL A | 100 | $1,000 | thousands by filing date | |
| BOQI INTL MED INC | 099501108 | COM | 751 | $1,000 | thousands by filing date | |
| SCVX CORP | G79448117 | *W EXP 01/24/202 | 548 | $1,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 96 | $1,000 | thousands by filing date | |
| ASCENDANT DIGITAL ACQUISITIO | G05155109 | COM CL A | 70 | $1,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A114 | *W EXP 07/31/202 | 3,743 | $1,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G128 | *W EXP 07/22/202 | 3,101 | $1,000 | thousands by filing date | |
| Malacca Straits Acquisition Company Limited | G5859B109 | Warrant | 1,461 | $1,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 797 | $1,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 3,441 | $1,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 293 | $1,000 | thousands by filing date | |
| ISHARES MSCI USA MIDCAP | 46435U143 | ETF | 31 | $1,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M125 | RIGHT 05/10/2024 | 2,417 | $1,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 340 | $1,000 | thousands by filing date | |
| MMTEC INC | G6181K106 | SHS | 848 | $1,000 | thousands by filing date | |
| IMMURON LTD | Q4867H223 | *W EXP 06/08/202 | 603 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 101,100 | $1,000 | thousands by filing date | |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 6,073 | $1,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 849 | $1,000 | thousands by filing date | |
| PAVMED INC | 70387R114 | *W EXP 01/29/202 | 700 | $1,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 343 | $1,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 4,184 | $1,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G129 | RIGHT 06/01/2021 | 1,123 | $1,000 | thousands by filing date | |
| TRIDENT ACQUISITIONS CORP | 89615T114 | W EXP 05/09/202 | 2,140 | $1,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 1,113 | $1,000 | thousands by filing date | |
| PGIM ETF TR | 69344A503 | QMA STRGC GWTH | 30 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A127 | *W EXP 07/07/202 | 52,867 | $1,000 | thousands by filing date | |
| CHURCHILL CAP CORP III | 17144C112 | *W EXP 03/01/202 | 432 | $1,000 | thousands by filing date | |
| DEERFIELD HEALTHCARE TECH AC | 244413100 | COM CL A | 100 | $1,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402Q118 | UNIT 99/99/9999 | 100 | $1,000 | thousands by filing date | |
| LM FDG AMER INC COM NEW | 502074305 | Stock | 761 | $1,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482129 | RIGHT 12/01/2022 | 5,002 | $1,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482111 | *W EXP 12/01/202 | 3,475 | $1,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 120 | $1,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P205 | UNIT 09/01/2024 | 100 | $1,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L720 | CUR HDG DM IDX | 49 | $1,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372124 | RIGHT 11/30/2020 | 4,103 | $1,000 | thousands by filing date | |
| LONGVIEW ACQUISITION CORP | 543195200 | UNIT 99/99/9999 | 101 | $1,000 | thousands by filing date | |
| INSURANCE ACQUISITION CORP | 457867117 | *W EXP 03/31/202 | 469 | $1,000 | thousands by filing date | |
| NEWBORN ACQUISITION CORP | G6463T114 | *W EXP 02/03/202 | 1,937 | $1,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 429 | $1,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R122 | W EXP 06/21/202 | 475 | $1,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y114 | W EXP 02/02/202 | 209 | $1,000 | thousands by filing date | |
| ORISUN ACQUISITION CORP | 68632T125 | RIGHT 05/31/2024 | 2,420 | $1,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P209 | UNIT 03/07/2023 | 48 | $1,000 | thousands by filing date | |
| PROPTECH ACQUISITION CORP | 74349F200 | UNIT 10/01/2026 | 66 | $1,000 | thousands by filing date | |
| EDISON NATION INC | 28103E106 | COM | 463 | $1,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 486 | $1,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SITIME CORP COM | 82982T106 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 1,740 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TASEKO MINES LTD COM | 876511106 | Stock | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 135 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| AIM ETF PRODUCTS TRUST | 00888H109 | US LRGCP B10 APR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 388 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEANSPARK INC | 18452B209 | COM NEW | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 62 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CF BANKSHARES INC | 12520L109 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A388 | APTUS DEFINED | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXAGEN INC | 30068X103 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FERROGLOBE PLC | G33856108 | SHS | 58 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189F130 | REAL ASSETS ETF | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KLX ENERGY SERVICES HOLDINGS | 48253L205 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OOMA INC | 683416101 | COM | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES U S ETF TR | 46431W648 | U.S. TECH INDEPD | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TECNOGLASS INC | G87264100 | ORD SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES ESG ADVANCED UNIVERSAL USD BOND ETF | 46436E619 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMERALD HOLDING INC | 29103W104 | COM | 53 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESCALADE INC | 296056104 | COMMON STOCK | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PCB BANCORP | 69320M109 | COMMON STOCK | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TSAKOS ENERGY NAVIGATION COM U | G9108L173 | SHS | 57 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092386 | STOCK FOR INFL | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEPHROS INC | 640671400 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASCENT INDUSTRIES CO | 871565107 | COM | 151 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| READING INTL INC | 755408101 | CL A | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 91 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR HIGH YIELD OPPRT 20 | 33741Q107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 89 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y616 | CMN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 183 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25460G609 | CMN | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANKLIN TEMPLETON ETF TR | 35473P496 | CMN | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NANOVIRICIDES INC | 630087302 | COM | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GUINNESS ATKINSON FDS | 402031876 | SMART TRANSN ETF | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 337 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAH FU EDUCATION GROUP LIMIT | G94184101 | SHS | 99 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRISTOL-MYERS SQUIBB CO | 110122140 | RIGHT 12/30/2030 | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRIDGFORD FOODS CORP | 108763103 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXCHANGE TRADED CONCEPTS TRU | 301505673 | ETC 6 SMALL CAP | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46436E692 | ESG AWARE 30/70 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Renovaro Inc | 29350E104 | Common Stock | 67 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 2,042 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 324 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 164 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HIGHPOINT RES CORP | 43114K108 | COM | 1,519 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TONIX PHARMACEUTICALS HOLDIN | 890260706 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXTCURE INC | 65343E108 | COM | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25460G880 | FUND | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R117 | WARR | 168 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R125 | WARR | 64 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |