13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-11, with 8,499 holding rows worth $295,784,923,000.
- Accession
- 0000950123-21-001651
- Filer
- CIK 1610520
- Filed
- 2021-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A combination report, 14,104 entries on the cover page, a total value of $295,784,923,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $295,785,041,000 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 |
|---|---|---|---|---|---|---|
| FIRST TR EXCHANGE-TRADED FD | 33733E872 | CMN | 2,100 | $62,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 22,091 | $62,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 46,489 | $62,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 1,765 | $62,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 2,678 | $62,000 | thousands by filing date | |
| FORMA THERAPEUTICS HLDGS INC | 34633R104 | SHS | 1,775 | $62,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 4,495 | $62,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 4,934 | $61,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 4,040 | $61,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 791 | $61,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 2,544 | $61,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 2,296 | $61,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 2,342 | $61,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 8,536 | $61,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 4,314 | $61,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 3,806 | $61,000 | thousands by filing date | |
| DIREXION DAILY REAL ESTATE BEAR 3X SHARES | 25460E141 | ETF | 5,956 | $61,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R833 | WBI BULBEAR TR | 3,572 | $61,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 3,020 | $61,000 | thousands by filing date | |
| ENERPAC TOOL GROUP CORP CL A COM | 292765104 | Stock | 2,615 | $60,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 3,312 | $60,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C722 | INTRNL DEV JULY | 2,511 | $60,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 7,810 | $60,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 2,069 | $60,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 9,769 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 1,211 | $60,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 402 | $60,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y335 | MSCI PAKISTAN | 2,070 | $60,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 6,414 | $60,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 2,276 | $60,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 5,731 | $60,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 1,936 | $60,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 1,840 | $59,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 2,929 | $59,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740U505 | FT VEST UQ EQT | 1,913 | $59,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C417 | US EQTY PWR BUF | 2,248 | $59,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 4,295 | $59,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 1,031 | $59,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 3,708 | $59,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y888 | CMN | 1,620 | $59,000 | thousands by filing date | |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 2,740 | $59,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 1,350 | $59,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 694 | $59,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 11,108 | $59,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 43,022 | $59,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 20,064 | $59,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 6,393 | $59,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 2,591 | $59,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 9,507 | $59,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 5,341 | $59,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 14,597 | $59,000 | thousands by filing date | |
| VENTOUX CCM ACQUISITION CORP | 92280L200 | UNIT 09/30/2025 | 5,758 | $59,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 12,038 | $59,000 | thousands by filing date | |
| Fidelity Blue Chip Growth ETF | 316092352 | SHS | 2,018 | $58,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 3,200 | $58,000 | thousands by filing date | call |
| ASTRONICS CORP COM | 046433108 | Stock | 4,408 | $58,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 2,126 | $58,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215207 | COM NEW | 1,572 | $58,000 | thousands by filing date | |
| GROUPON INC | 399473206 | COM NEW | 1,536 | $58,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 1,500 | $58,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 2,918 | $58,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 1,170 | $58,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,454 | $58,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 5,362 | $58,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 9,095 | $58,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H591 | CMN | 1,654 | $58,000 | thousands by filing date | |
| SIREN ETF TR | 829658301 | CMN | 1,231 | $58,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 3,250 | $58,000 | thousands by filing date | |
| NORTHERN LIGHTS FD TR | 66538J738 | TOEWS AGLTY DNYM | 2,288 | $58,000 | thousands by filing date | |
| WHITING PETROLEUM CORP | 966387508 | COMMON STOCK | 2,307 | $58,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 5,859 | $58,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 7,299 | $58,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 13,909 | $58,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q613 | US AGGREGATE | 2,088 | $58,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,643 | $57,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 1,518 | $57,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G109 | CL A | 4,510 | $57,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 14,535 | $57,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 1,155 | $57,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 1,474 | $57,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 27,043 | $57,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A263 | ACQUIRERS FD | 2,486 | $57,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 15,282 | $57,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F130 | REAL ASSETS ETF | 2,512 | $56,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 4,234 | $56,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 BUFFER ETF JUNE | 45782C755 | ETF | 1,781 | $56,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 345 | $56,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 4,398 | $56,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 1,386 | $56,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 2,001 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 1,824 | $56,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 8,995 | $56,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 2,430 | $56,000 | thousands by filing date | |
| LEGEND BIOTECH CORP | 52490G102 | SPONSORED ADS | 1,970 | $55,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 5,038 | $55,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 2,813 | $55,000 | thousands by filing date | |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 1,055 | $55,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 3,603 | $55,000 | thousands by filing date | |
| TARSUS PHARMACEUTICALS INC | 87650L103 | COMMON STOCK | 1,325 | $55,000 | thousands by filing date | |
| Low Duration Preferre | 26922A198 | AAM LW DUR PFD | 2,188 | $55,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 8,907 | $55,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 463 | $55,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 6,943 | $55,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 5,175 | $55,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 23,388 | $55,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A347 | AAM S&P DEV MK | 2,452 | $55,000 | thousands by filing date | |
| DPCM CAPITAL, INC. | 23344P200 | COM | 5,000 | $55,000 | thousands by filing date | |
| ALTIMAR ACQUISITION CORP | G03707109 | SHS CL A | 4,848 | $55,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L209 | US EQT EX 2027 | 656 | $55,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 14,706 | $54,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 7,308 | $54,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 2,381 | $54,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 2,209 | $54,000 | thousands by filing date | |
| LENSAR INC | 52634L108 | COM | 7,558 | $54,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 4,351 | $54,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 2,518 | $54,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 1,788 | $54,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 1,047 | $54,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 3,486 | $54,000 | thousands by filing date | |
| PAYA HOLDINGS INC | 70434P103 | COM CL A | 4,000 | $54,000 | thousands by filing date | |
| ISHARES TR | 46435G169 | RUSSELL 1000 US | 1,723 | $54,000 | thousands by filing date | |
| TPG PACE BEN FIN CORP | G8990D125 | CL A COM | 2,069 | $54,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 7,457 | $54,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 34,000 | $54,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 3,503 | $54,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A156 | LHA MKT ST ALP | 2,284 | $54,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M110 | W EXP 07/25/202 | 3,483 | $54,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 2,533 | $53,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 11,582 | $53,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 1,867 | $53,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 463 | $53,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 23,568 | $53,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 1,260 | $53,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 2,684 | $53,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 2,350 | $53,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 4,380 | $53,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 3,694 | $53,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 2,064 | $53,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 12,110 | $53,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 29,631 | $53,000 | thousands by filing date | |
| Roth Ch Acquisition II Co | 778673202 | Unit | 5,117 | $53,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 6,601 | $52,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 5,654 | $52,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 2,365 | $52,000 | thousands by filing date | |
| SOTERA HEALTH CO | 83601L102 | COM | 1,913 | $52,000 | thousands by filing date | |
| ORIC PHARMACEUTICALS INC | 68622P109 | COM | 1,527 | $52,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 1,205 | $52,000 | thousands by filing date | |
| ONITY GROUP INC | 675746606 | COMMON STOCK | 1,793 | $52,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 1,728 | $52,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,366 | $52,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X172 | US HGH YLD CORP | 992 | $52,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 1,253 | $52,000 | thousands by filing date | |
| CHINDATA GROUP HLDGS LTD | 16955F107 | ADS | 2,161 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74347B185 | FUND | 3,263 | $52,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,956 | $52,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 1,971 | $52,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION COM | 03768F102 | CL A | 3,446 | $52,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 15,402 | $51,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C672 | US EQT ULTRA BF | 1,833 | $51,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 3,359 | $51,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 5,450 | $51,000 | thousands by filing date | |
| Counterpoint High Yield Trend ETF | 66538R722 | ETF | 2,101 | $51,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N543 | VICTORYSHS EMERG | 1,117 | $51,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 2,102 | $51,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 6,302 | $51,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y319 | CMN | 2,010 | $51,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 1,755 | $51,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 912 | $51,000 | thousands by filing date | |
| STRATEGY SHS | 86280R886 | NEWFOUND RESLV | 2,029 | $51,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 17,648 | $51,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 4,466 | $51,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,324 | $51,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 818 | $51,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 13,470 | $51,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 3,387 | $51,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 9,874 | $51,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 4,980 | $51,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 3,600 | $50,000 | thousands by filing date | call |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,786 | $50,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,347 | $50,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 2,039 | $50,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 3,700 | $50,000 | thousands by filing date | call |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 5,544 | $50,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 3,318 | $50,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 15,837 | $50,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y529 | DORSY SHRT ETF | 4,400 | $50,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 25,036 | $50,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 6,145 | $50,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 40,645 | $50,000 | thousands by filing date | |
| LISTED FD TR | 53656F664 | TRUESHARES STRCT | 1,722 | $50,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J734 | STRG US SML ETF | 1,707 | $50,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 1,756 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 6,290 | $50,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 2,495 | $50,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 4,500 | $49,000 | thousands by filing date | |
| AVIDITY BIOSCIENCES INC COM | 05370A108 | Stock | 1,897 | $49,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 1,190 | $49,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C276 | GRWT100 PWR BUF | 1,101 | $49,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 3,266 | $49,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONALMULTIFACTOR FUND | 97717Y774 | ETF | 2,000 | $49,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092345 | BLUE CHIP VALUE | 2,037 | $49,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 7,320 | $49,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 1,792 | $49,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 21,029 | $49,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 10,712 | $49,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 6,263 | $49,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 2,797 | $49,000 | thousands by filing date | |
| PASSAGE BIO INC | 702712100 | COM | 1,918 | $49,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 4,451 | $49,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 1,193 | $49,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 2,080 | $49,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 3,594 | $49,000 | thousands by filing date | |
| AMPLITUDE HEALTHCARE ACQUISITI | 03212a105 | COM | 4,847 | $49,000 | thousands by filing date | |
| REVOLUTION MEDICINES INC COM | 76155X100 | Stock | 1,203 | $48,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 2,758 | $48,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 2,513 | $48,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 10,805 | $48,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 4,124 | $48,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 3,602 | $48,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 5,507 | $48,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 1,814 | $48,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 3,883 | $48,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W598 | BLOOMBERG ROLL | 1,047 | $48,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 4,716 | $48,000 | thousands by filing date | |
| PACER FDS TR | 69374H659 | CASH COWS ETF | 1,720 | $48,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 1,337 | $48,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 10,000 | $48,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 9,030 | $48,000 | thousands by filing date | |
| MULTIPLAN CORPORATION | 62548M100 | COM | 6,000 | $48,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 9,861 | $48,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 2,630 | $48,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416607 | HARTFORD MLT DIV | 1,786 | $48,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E772 | QRAFT AI-ENHNCD | 1,798 | $48,000 | thousands by filing date | |
| LISTED FD TR | 53656F813 | TRUESHS ESG ACTV | 1,371 | $48,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 2,602 | $48,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 14,951 | $47,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 8,161 | $47,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J726 | RAFI STRG US ETF | 1,725 | $47,000 | thousands by filing date | |
| ADC THERAPEUTICS SA | H0036K147 | COMMON STOCK | 1,465 | $47,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 6,360 | $47,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 2,300 | $47,000 | thousands by filing date | |
| CUSHMAN WAKEFIELD PLC | G2717B108 | SHS | 3,146 | $47,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 30,165 | $47,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 2,348 | $47,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 8,857 | $47,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 1,550 | $47,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 1,614 | $47,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 6,676 | $47,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 14,959 | $47,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 13,475 | $47,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 4,931 | $47,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 951 | $47,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 2,180 | $47,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 7,538 | $47,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 4,165 | $47,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 5,208 | $46,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 898 | $46,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 2,337 | $46,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 589 | $46,000 | thousands by filing date | |
| TURQUOISE HILL RES LTD | 900435207 | COM | 3,668 | $46,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 13,647 | $46,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 2,027 | $46,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 6,215 | $46,000 | thousands by filing date | |
| FOGHORN THERAPEUTICS INC | 344174107 | COMMON STOCK | 2,248 | $46,000 | thousands by filing date | |
| ISHARES MSCI JAPAN VALUE ETF | 46435U374 | ETF | 1,756 | $46,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 731 | $46,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 1,488 | $46,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 12,016 | $46,000 | thousands by filing date | |
| ALIGOS THERAPEUTICS INC COM NEW | 01626L105 | Stock | 1,663 | $46,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 4,000 | $46,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 3,759 | $46,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 13,900 | $46,000 | thousands by filing date | call |
| TRANSAMERICA ETF TR | 89349P206 | mc | 866 | $46,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 19,300 | $46,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 2,085 | $46,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 986 | $45,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 13,627 | $45,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 2,387 | $45,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X788 | IPOX EUROPE EQ | 1,562 | $45,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 2,324 | $45,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 3,082 | $45,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 5,545 | $45,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 18,016 | $45,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 12,204 | $45,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 6,583 | $45,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 7,513 | $45,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 4,033 | $45,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 13,339 | $45,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C698 | US EQUT BUFR AUG | 1,464 | $44,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 400 | $44,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 665 | $44,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R643 | ENHANCD SHORT | 439 | $44,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 17,330 | $44,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 1,318 | $44,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 6,356 | $44,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 1,045 | $44,000 | thousands by filing date | |
| IBEX LTD | G4690M101 | COMMON STOCK | 2,333 | $44,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 24,602 | $44,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 7,700 | $44,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 676 | $44,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P546 | SYSTMTC STYL PRE | 2,235 | $44,000 | thousands by filing date | |
| GENASYS INC | 36872P103 | CMN | 6,792 | $44,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 1,641 | $44,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 2,780 | $44,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,800 | $44,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 1,006 | $44,000 | thousands by filing date | |
| PACIFIC GLOBAL SENIOR LOAN ETF | 69434K403 | ETF | 912 | $44,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L813 | TREND AGREGN ESG | 1,657 | $44,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 4,700 | $43,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q340 | BETABUILDERS US | 551 | $43,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 21,876 | $43,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C789 | US EQTY BUFR JUL | 1,420 | $43,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C656 | US EQTY PWR BUF | 1,545 | $43,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 17,649 | $43,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 6,233 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 949 | $43,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 3,012 | $43,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 507 | $43,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,161 | $43,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G798 | VIRTUS PVT CR | 2,124 | $43,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 2,677 | $43,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 5,124 | $43,000 | thousands by filing date | |
| BLUEGREEN VACATIONS HLDG COR | 096308101 | COM | 3,114 | $43,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 2,051 | $43,000 | thousands by filing date | |
| MEDAVAIL HOLDINGS INC | 58406B103 | COM | 2,887 | $43,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 14,731 | $43,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 2,950 | $43,000 | thousands by filing date | |
| DBX ETF TR | 233051564 | XTRCK EURZON EQT | 1,760 | $43,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 1,605 | $43,000 | thousands by filing date | |
| GIGCAPITAL3 INC | 37519D206 | UNIT 99/99/9999 | 2,728 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 8,640 | $43,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 5,010 | $42,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,930 | $42,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 5,522 | $42,000 | thousands by filing date | |
| RHINEBECK BANCORP INC | 762093102 | COMMON STOCK | 4,978 | $42,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C821 | US EQTY ULTRA B | 1,550 | $42,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 2,038 | $42,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,650 | $42,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 3,974 | $42,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 10,700 | $42,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 6,058 | $42,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 19,850 | $42,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 6,029 | $42,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 2,702 | $42,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 7,069 | $42,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 3,140 | $42,000 | thousands by filing date | |
| NULL | 301505749 | NULL | 1,418 | $42,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E438 | RUSL 1000 ENHD | 1,354 | $42,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 14,720 | $42,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E699 | CABANA TARGET 13 | 1,683 | $42,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 1,190 | $42,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 2,965 | $41,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 7,062 | $41,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C318 | US EQTY PWR BUF | 1,463 | $41,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 399 | $41,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,755 | $41,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 802 | $41,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,926 | $41,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,206 | $41,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,359 | $41,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCES INC | 004468500 | COMMON STOCK | 5,064 | $41,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 1,164 | $41,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 14,538 | $41,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 16,240 | $41,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 18,182 | $41,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,686 | $41,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 3,006 | $41,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 8,118 | $41,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 3,617 | $41,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P480 | FUND | 621 | $41,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 4,188 | $41,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 4,911 | $41,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 1,635 | $41,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 1,245 | $41,000 | thousands by filing date | |
| BALLYS CORPORATION | 05875B106 | COM | 797 | $40,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C300 | US EQT ULTRA BF | 1,340 | $40,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 1,188 | $40,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 1,389 | $40,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,618 | $40,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER APRIL | 45782C805 | ETF | 1,603 | $40,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER ETF JUNE | 45782C730 | ETF | 1,421 | $40,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 1,264 | $40,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 6,018 | $40,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 10,396 | $40,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 13,225 | $40,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 609 | $40,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,665 | $40,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G880 | FUND | 2,026 | $40,000 | thousands by filing date | |
| DRAGONEER GROWTH OPPORTUN CO COM | G28302100 | CL A | 3,048 | $40,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P777 | FTSE HONG KONG | 1,549 | $40,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 18,000 | $40,000 | thousands by filing date | principal |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 1,276 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y533 | MSCI CHINA IT | 1,180 | $40,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 14,361 | $40,000 | thousands by filing date | |
| QUANTUMSCAPE CORP | 74767V117 | *W EXP 11/25/202 | 1,059 | $40,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 1,485 | $40,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 1,025 | $39,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A594 | AAM S&P 500 | 1,579 | $39,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,571 | $39,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 4,472 | $39,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,657 | $39,000 | thousands by filing date | |
| INNOVATOR U.S. SMALL CAP POWER BUFFER ETF - APRIL | 45782C342 | ETF | 1,443 | $39,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G609 | CMN | 2,690 | $39,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061839 | TRINITY | 1,579 | $39,000 | thousands by filing date | |
| BIODESIX INC | 09075X108 | COM | 1,933 | $39,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,721 | $39,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 15,016 | $39,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 20,100 | $39,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 6,705 | $39,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 2,458 | $39,000 | thousands by filing date | |
| HIGHPOINT RESOURCES CORP COM | 43114K207 | Stock | 4,281 | $39,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D124 | UNIT 12/31/2026 | 3,517 | $39,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 1,800 | $38,000 | thousands by filing date | put |
| STERIS PLC SHS USD | G8473T100 | Stock | 200 | $38,000 | thousands by filing date | put |
| TRAVERE THERAPEUTICS INC | 89422G107 | COM | 1,422 | $38,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 1,676 | $38,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 2,462 | $38,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,215 | $38,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 3,396 | $38,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 2,492 | $38,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 2,786 | $38,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 5,286 | $38,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 2,192 | $38,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 16,960 | $38,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 8,950 | $38,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 671 | $38,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 8,158 | $38,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 3,521 | $38,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 934 | $38,000 | thousands by filing date | |
| DENBURY INC | 24790A101 | COM | 1,480 | $38,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 44,635 | $38,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 9,057 | $38,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P449 | FUND | 825 | $38,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 3,625 | $38,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 7,056 | $38,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 9,806 | $38,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 1,298 | $38,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 1,323 | $38,000 | thousands by filing date | |
| MAXEON SOLAR TECHNOLOGIES LT | 58503F502 | COM | 1,331 | $38,000 | thousands by filing date | |
| STAR PEAK ENERGY TRANSITION | 855185203 | UNIT 99/99/9999 | 1,722 | $38,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 1,486 | $38,000 | thousands by filing date | |
| DMY TECHNOLOGY GROUP INC II | 233277201 | UNIT 99/99/9999 | 2,043 | $38,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 569 | $37,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 1,296 | $37,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 2,581 | $37,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,545 | $37,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 12,829 | $37,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 1,071 | $37,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,280 | $37,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 1,898 | $37,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E869 | DAILY 500 1X ETF | 2,002 | $37,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 4,370 | $37,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C391 | US EQTY BUFR MAR | 1,260 | $37,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 390 | $37,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q449 | BETA US GRAD ETF | 637 | $37,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM | 063679856 | 2X LEVERAGED | 201 | $37,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 3,419 | $37,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 8,061 | $37,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 31,294 | $37,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 6,426 | $37,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 5,872 | $37,000 | thousands by filing date | |
| PG&E CORP | 69331C140 | CONV | 299 | $37,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 2,568 | $37,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 21,399 | $37,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 2,259 | $37,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 1,259 | $37,000 | thousands by filing date | |
| TIDAL ETF TR | 886364504 | SOFI BE YOUR OWN | 1,012 | $37,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 5,237 | $37,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C383 | US EQTY PWR BUF | 1,275 | $36,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 1,494 | $36,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 10,043 | $36,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 1,650 | $36,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 999 | $36,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 2,353 | $36,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,280 | $36,000 | thousands by filing date | |
| MOTLEY FOOL SMALL-CAP GROWTH ETF | 74933W874 | ETF | 930 | $36,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF MARCH | 45782C375 | ETF | 1,291 | $36,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 62 | $36,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 6,626 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 413 | $36,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 2,369 | $36,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 1,072 | $36,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 11,248 | $36,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 11,418 | $36,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 8,601 | $36,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 6,856 | $36,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 7,743 | $36,000 | thousands by filing date | |
| LISTED FD TR | 53656F672 | TRUESHARES DEC | 1,400 | $36,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 480 | $36,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G690 | DLY SEMICNDTR BR | 2,019 | $36,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 7,219 | $36,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E202 | COM NEW | 2,242 | $36,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M201 | UNIT 99/99/9999 | 799 | $36,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 300 | $35,000 | thousands by filing date | put |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 100 | $35,000 | thousands by filing date | put |
| NTNLGRIDPLCADRFSPONSOREDADR1ADRREPS5ORDSHS | 636274409 | STOK | 600 | $35,000 | thousands by filing date | put |
| GFL ENVIRONMENTAL INC SUB VTG SHS | 36168Q104 | Stock | 1,200 | $35,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 1,700 | $35,000 | thousands by filing date | call |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 1,851 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 1,428 | $35,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-21-001651 | this filing | 2021-02-11 | acceptance time not in the bulk data set |