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 EXCHNG TRADED FD VI | 33740F847 | FT VEST US EQT | 1,000 | $35,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C714 | EMRGNG MKT JULY | 1,322 | $35,000 | thousands by filing date | |
| INNOVATOR U.S. EQUITY BUFFER ETF - MAY | 45782C326 | ETF | 1,174 | $35,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 1,203 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R696 | CMN | 1,405 | $35,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L877 | ROYCE QUANT SML | 1,193 | $35,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 24,373 | $35,000 | thousands by filing date | |
| MEDIROM HEALTHCARE TECH INC | 58510H103 | SPONSORED ADS | 2,401 | $35,000 | thousands by filing date | |
| DBX ETF TR | 233051192 | XTKR EMGRIN MKTS | 1,111 | $35,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 6,168 | $35,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 2,243 | $35,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 5,026 | $35,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 6,920 | $35,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W408 | COM NEW | 7,506 | $35,000 | thousands by filing date | |
| ETRACS BLOOMBERG CMDY TTL RTNSM ETN | 90269A450 | ETF | 2,404 | $35,000 | thousands by filing date | |
| BLACKROCK ETF TRUST | 09290C301 | FUTURE TECH ETF | 1,003 | $35,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 32,894 | $35,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 1,466 | $35,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F607 | EQUITYCOMPASS | 1,666 | $35,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P107 | mc | 543 | $35,000 | thousands by filing date | |
| PAYA HOLDINGS INC | 70434P111 | *W EXP 10/16/202 | 9,859 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 2,849 | $35,000 | thousands by filing date | |
| UPSTARTHLDGSINC | 91680M107 | STOK | 827 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 720 | $34,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C334 | GRWT100 PWR BF | 953 | $34,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 2,319 | $34,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 994 | $34,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,281 | $34,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 564 | $34,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 2,335 | $34,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,344 | $34,000 | thousands by filing date | |
| INNOVATOR U.S. SMALL CAP POWER BUFFER ETF - JULY | 45782C284 | ETF | 1,332 | $34,000 | thousands by filing date | |
| FATHOM HOLDINGS | 31189V109 | COM | 944 | $34,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 1,879 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 429 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 681 | $34,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 1,769 | $34,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142409 | COM | 2,742 | $34,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 4,938 | $34,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 1,242 | $34,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 1,279 | $34,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J692 | STRG EMERG ETF | 1,257 | $34,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 942 | $34,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 1,145 | $34,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,146 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347G853 | ULSHRT TECH NEW | 2,396 | $34,000 | thousands by filing date | |
| JUNIPER INDL HLDGS INC | 48205G205 | UNIT 11/13/2026 | 2,923 | $34,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 1,292 | $33,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 400 | $33,000 | thousands by filing date | put |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 873 | $33,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 18,219 | $33,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 2,198 | $33,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L654 | US QT LW VLTY | 733 | $33,000 | thousands by filing date | |
| LAIRD SUPERFOOD INC | 50736T102 | CMN | 716 | $33,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 734 | $33,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 13,008 | $33,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 4,232 | $33,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 14,627 | $33,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,459 | $33,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,450 | $33,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 5,205 | $33,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 4,394 | $33,000 | thousands by filing date | |
| LISTED FD TR | 53656F722 | TRUESHARES STRUC | 1,200 | $33,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 68,823 | $33,000 | thousands by filing date | |
| iMGP DBi Hedge Strategy ETF | 56170L794 | ETF | 1,074 | $33,000 | thousands by filing date | |
| PERIDOT ACQUISIT | G7008A123 | UNIT | 2,892 | $33,000 | thousands by filing date | |
| Rodgers Silicon Valley Acquisition Corp | 774873202 | Unit | 2,500 | $33,000 | thousands by filing date | |
| PANACEA ACQUISITION CORP | 698102100 | CL A | 2,832 | $33,000 | thousands by filing date | |
| PLIANT THERAPEUTICS INC | 729139105 | COM | 1,379 | $32,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 1,243 | $32,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,982 | $32,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C680 | US EQTY PWR BF | 1,147 | $32,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 1,257 | $32,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 6,103 | $32,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 1,171 | $32,000 | thousands by filing date | |
| GREENWICH LIFESCIENCES INC | 396879108 | COMMON STOCK | 880 | $32,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 15,343 | $32,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 3,766 | $32,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 4,708 | $32,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 31,000 | $32,000 | thousands by filing date | principal |
| POLYMET MNG CORP | 731916409 | COM | 9,420 | $32,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 18,087 | $32,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,162 | $32,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 3,227 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 2,810 | $32,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 10,309 | $32,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681204 | UNIT 07/01/2027 | 3,045 | $32,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 15,000 | $32,000 | thousands by filing date | |
| OAKTREE ACQUISITION CORP | G67145105 | SHS CL A | 2,219 | $32,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 9,209 | $32,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019101 | CMN | 3,091 | $32,000 | thousands by filing date | |
| FIRSTMARK HORIZON ACQUISITIO | 33765Y101 | CL A COM | 3,008 | $32,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 200 | $31,000 | thousands by filing date | put |
| INNOVATOR ETFS TRUST | 45782C748 | US EQTY PWR BUF | 1,037 | $31,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 2,118 | $31,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 1,357 | $31,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 607 | $31,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 815 | $31,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 1,769 | $31,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 1,586 | $31,000 | thousands by filing date | |
| DIREXION SHS TR ETF DAILY S&P OIL & GAS EXP & PROD BULL 2X | 25460G500 | ETF | 825 | $31,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 19,915 | $31,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 1,587 | $31,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 1,518 | $31,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 2,473 | $31,000 | thousands by filing date | |
| PACER FDS TR | 69374H725 | LUNT MDCAP MLT | 969 | $31,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 7,986 | $31,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 1,664 | $31,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q733 | ANFIELD US EQU | 2,619 | $31,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 5,984 | $31,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 2,164 | $31,000 | thousands by filing date | |
| TREAN INS GROUP INC | 89457R101 | COM | 2,361 | $31,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 4,147 | $31,000 | thousands by filing date | |
| NEOGAMES S A | L6673X107 | COM | 810 | $31,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 2,196 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 874 | $31,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 10,547 | $31,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 2,638 | $31,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,040 | $31,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 1,996 | $31,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 9,097 | $31,000 | thousands by filing date | |
| H I G ACQUISITION CORP UNIT | G44898115 | Stock | 3,018 | $31,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 9,599 | $31,000 | thousands by filing date | |
| ASCENDANT DIGITAL ACQUISITIO | G05155125 | UNIT 99/99/9999 | 2,963 | $31,000 | thousands by filing date | |
| CONSONANCE HFW ACQUISITION C | G2445M129 | UNIT 99/99/9999 | 2,920 | $31,000 | thousands by filing date | |
| NEWBORN ACQUISITION CORP | G6463T130 | UNIT 99/99/9999 | 1,341 | $31,000 | thousands by filing date | |
| SPDR S&P 500 ESG ETF | 78468R531 | SHS | 874 | $30,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 2,099 | $30,000 | thousands by filing date | |
| AGF INVTS TR | 00110G408 | US MARKET NETRL | 1,562 | $30,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P301 | MUNI HI INCM ETF | 557 | $30,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 3,023 | $30,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 2,842 | $30,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 4,677 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 498 | $30,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P595 | SENIOR LOAN ETF | 1,215 | $30,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 518 | $30,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 920 | $30,000 | thousands by filing date | |
| NEW YORK CITY REIT INC | 649439205 | COM | 3,699 | $30,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 12,969 | $30,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y813 | ULTRA SHT ACTV | 1,212 | $30,000 | thousands by filing date | |
| CORNER GROWTH ACQUISITION CO | G2425N121 | UNIT 01/01/2027 | 2,898 | $30,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 27,573 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 2,640 | $30,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,025 | $30,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 943 | $30,000 | thousands by filing date | |
| QUHUO LTD | 74841Q100 | ADS | 4,000 | $30,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679831 | INVERSE ETN | 1,773 | $30,000 | thousands by filing date | |
| PECK CO HLDGS INC | 705163103 | COM NEW | 5,007 | $30,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 931 | $30,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K123 | UNIT 99/99/9999 | 1,676 | $30,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 10,698 | $29,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 2,974 | $29,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 100 | $29,000 | thousands by filing date | put |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 4,066 | $29,000 | thousands by filing date | |
| VanEck Vectors Energy Inc | 92189H870 | ENERGY INCOME | 717 | $29,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R502 | COM NEW | 2,037 | $29,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,748 | $29,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 6,134 | $29,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 12,933 | $29,000 | thousands by filing date | |
| SIREN ETF TR | 829658202 | NEXGEN ECONOMY | 721 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 620 | $29,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 1,538 | $29,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,175 | $29,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 4,662 | $29,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 4,103 | $29,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 3,071 | $29,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,913 | $29,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 778 | $29,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 1,107 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 1,958 | $29,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 2,289 | $29,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,858 | $29,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 1,060 | $29,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 1,203 | $29,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 989 | $29,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 3,015 | $29,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T109 | COM CL A | 2,715 | $29,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 36,726 | $29,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P404 | mc | 602 | $29,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 892 | $29,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T125 | UNIT 99/99/9999 | 2,500 | $29,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 200 | $28,000 | thousands by filing date | put |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,271 | $28,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,299 | $28,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,845 | $28,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 10,156 | $28,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 879 | $28,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 3,108 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 1,143 | $28,000 | thousands by filing date | |
| Youdao Inc - Adr | 98741T104 | COM | 1,033 | $28,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,766 | $28,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,580 | $28,000 | thousands by filing date | |
| NOVABRIDGE BIOSCIENCES | 44975P103 | CMN | 596 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 728 | $28,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 565 | $28,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 11,507 | $28,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 3,230 | $28,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 4,077 | $28,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P456 | FUND | 656 | $28,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 4,236 | $28,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 2,362 | $28,000 | thousands by filing date | |
| SYNTAX ETF TR | 87166N304 | STRATIFIED SMCP | 649 | $28,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 22,146 | $28,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 22,034 | $28,000 | thousands by filing date | |
| FUSION ACQUISITION CORP | 36118H204 | UNIT 99/99/9999 | 2,261 | $28,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 15,873 | $28,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 1,370 | $28,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 59,285 | $28,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E764 | ARMOR US EQT IDX | 1,300 | $28,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 938 | $28,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N808 | VICOTRYSHS EMG | 1,285 | $28,000 | thousands by filing date | |
| MUDRICK CAPITAL ACQU CORP II | 62477L206 | UNIT 99/99/9999 | 2,699 | $28,000 | thousands by filing date | |
| SPARTACUS ACQ CORP; TNT ACQ DT: 7/15/2022; CASH: $10.15 | 84677L109 | CL A | 2,757 | $28,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N114 | *W EXP 05/30/202 | 87,366 | $28,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 300 | $27,000 | thousands by filing date | put |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,722 | $27,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 2,212 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 250 | $27,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 23,579 | $27,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 2,585 | $27,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,713 | $27,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,099 | $27,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,457 | $27,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,606 | $27,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER JULY | 45782C839 | ETF | 1,006 | $27,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,741 | $27,000 | thousands by filing date | |
| AXE COMPUTE INC COM NEW | 74039M200 | Stock | 37,386 | $27,000 | thousands by filing date | |
| PPD INC | 69355F102 | COM | 800 | $27,000 | thousands by filing date | put |
| SQZ BIOTECHNOLOGIES CO | 78472W104 | COM | 930 | $27,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 6,227 | $27,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 4,398 | $27,000 | thousands by filing date | |
| AMERICAN VRTUAL CLOUD TECH I | 030382105 | COM | 3,692 | $27,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 10,202 | $27,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 20,500 | $27,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 1,449 | $27,000 | thousands by filing date | |
| GOOD WORKS ACQUISITION CORP | 38216X107 | COM | 2,738 | $27,000 | thousands by filing date | |
| FIRSTMARK HORIZON ACQUISITIO | 33765Y200 | UNIT 99/99/9999 | 2,400 | $27,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 1,315 | $27,000 | thousands by filing date | |
| ACIES ACQUISITION CORP | G0103T121 | UNIT 11/30/2027 | 2,559 | $27,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 3,512 | $26,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 1,076 | $26,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 2,663 | $26,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 4,004 | $26,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 3,550 | $26,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,144 | $26,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092717 | INT VL FCT ETF | 1,206 | $26,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AMERICA | 47089W104 | Stock | 5,355 | $26,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,429 | $26,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,250 | $26,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,673 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 914 | $26,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E723 | ETC CABANA TARGT | 1,075 | $26,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 1,843 | $26,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 3,348 | $26,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 953 | $26,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 8,490 | $26,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P548 | FUND | 585 | $26,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO L | G6593L106 | COM | 1,402 | $26,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,801 | $26,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 806 | $26,000 | thousands by filing date | |
| SIO GENE THERAPIES INC | 829399104 | COM | 9,401 | $26,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 43,000 | $26,000 | thousands by filing date | |
| FORTE BIOSCIENCES INC | 34962G109 | COM | 700 | $26,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 506 | $26,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8252P121 | UNIT 99/99/9999 | 1,982 | $26,000 | thousands by filing date | |
| ADITX THERAPEUTICS INC | 007025109 | COM | 12,538 | $26,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 5,961 | $26,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H666 | FRMLAFOLIOS TATL | 1,076 | $26,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 918 | $26,000 | thousands by filing date | |
| NUZEE INC | 67073S208 | COM NEW | 2,436 | $26,000 | thousands by filing date | |
| Fintech Acquisition Corp IV | 31810N302 | Unit | 2,144 | $26,000 | thousands by filing date | |
| TIMOTHY PLAN US LARGE/MID CAP CORE ETF | 887432359 | ETF | 809 | $25,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 1,000 | $25,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 4,587 | $25,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 3,507 | $25,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 1,304 | $25,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,008 | $25,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J585 | BULETSHS 2027 | 979 | $25,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 2,227 | $25,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 533 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347G507 | RUSSELL US DIV | 601 | $25,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 53,856 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 2,024 | $25,000 | thousands by filing date | |
| SIGILON THERAPEUTICS INC | 82657L107 | COM | 517 | $25,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 24,208 | $25,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 2,694 | $25,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 3,724 | $25,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 2,851 | $25,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 2,077 | $25,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 1,116 | $25,000 | thousands by filing date | |
| VIRIOS THERAPEUTICS INC | 92829J104 | COM | 3,322 | $25,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E133 | DAILY FINL BEAR | 3,480 | $25,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 540 | $25,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 7,601 | $25,000 | thousands by filing date | |
| ORPHAZYME A S F UNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 687305102 | ADS | 2,327 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| J P MORGAN EXCHANGE-TRADED F | 46641Q381 | BETABLDRS 1-5YR | 966 | $25,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 714 | $24,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 500 | $24,000 | thousands by filing date | call |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 3,690 | $24,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 4,739 | $24,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 1,500 | $24,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,488 | $24,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 565 | $24,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 2,867 | $24,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 1,937 | $24,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432326 | HIG DV STK ETF | 935 | $24,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 938 | $24,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,732 | $24,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,617 | $24,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,890 | $24,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 4,909 | $24,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 796 | $24,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 1,367 | $24,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 2,338 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 1,319 | $24,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 1,126 | $24,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,407 | $24,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 4,998 | $24,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 866 | $24,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 9,070 | $24,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 400 | $24,000 | thousands by filing date | |
| WISA TECHNOLOGIES INC | 86633R203 | COM NEW | 6,766 | $24,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 55,332 | $24,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 5,963 | $24,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P751 | FTSE ITALY ETF | 952 | $24,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRA | 459506309 | UNIT 09/15/2021 | 600 | $24,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 2,468 | $24,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 43,870 | $24,000 | thousands by filing date | |
| REINVENT TECHNOLOGY PARTNERS | G74847123 | UNIT 99/99/9999 | 2,100 | $24,000 | thousands by filing date | |
| Colonnade Acquisition Corp | G2283K128 | COLONNADE ACQUISITION CORP | 1,556 | $24,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 846 | $23,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,118 | $23,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 654 | $23,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 406 | $23,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 7,103 | $23,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 1,000 | $23,000 | thousands by filing date | call |
| PTC THERAPEUTICS INC | 69366J200 | COM | 384 | $23,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430230 | ULTR SHOR BD ETF | 446 | $23,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 2,559 | $23,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF FEBRUARY | 45782C425 | ETF | 868 | $23,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 24,000 | $23,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33741L207 | CMN | 1,260 | $23,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 2,551 | $23,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 783 | $23,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 1,586 | $23,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 556 | $23,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 652 | $23,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 1,580 | $23,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,970 | $23,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 7,229 | $23,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 6,128 | $23,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 38,345 | $23,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 1,417 | $23,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 171 | $23,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A834 | ALPHAMARK SM | 861 | $23,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 3,075 | $23,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 658 | $23,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q787 | CMN | 714 | $23,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 3,850 | $23,000 | thousands by filing date | |
| LIV CAP ACQUISITION CORP | G5510C124 | UNIT 99/99/9999 | 2,194 | $23,000 | thousands by filing date | |
| RUSH STREET INTERACTIVE INC | 782011118 | *W EXP 02/21/202 | 2,938 | $23,000 | thousands by filing date | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 2,304 | $22,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935805 | US VALUE FACTR | 283 | $22,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D390 | ETRA BL CO MAT 5 | 1,415 | $22,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 600 | $22,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 700 | $22,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 4,120 | $22,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 4,318 | $22,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION COM U | G9108L173 | SHS | 2,752 | $22,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 3,000 | $22,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 2,233 | $22,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 346 | $22,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 2,208 | $22,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 4,677 | $22,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 7,038 | $22,000 | thousands by filing date | |
| ARROW INVTS TR | 042765719 | RESV CAP ETF | 215 | $22,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33740J203 | EQUITY MARKET NE | 1,139 | $22,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 49,829 | $22,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 895 | $22,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 832 | $22,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 2,006 | $22,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 3,977 | $22,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 15,921 | $22,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 2,247 | $22,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 1,537 | $22,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 1,872 | $22,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 8,550 | $22,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 5,958 | $22,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 2,880 | $22,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 616 | $22,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 16,408 | $22,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 3,528 | $22,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 5,324 | $22,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 8,409 | $22,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G114 | WTS | 13,754 | $22,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 8,408 | $22,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D108 | SHS | 2,206 | $22,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H203 | COM NEW | 4,584 | $22,000 | thousands by filing date | |
| EXECUTIVE NETWORK PARTNERING | 30158L209 | UNIT 99/99/9999 | 844 | $22,000 | thousands by filing date | |
| VISTAS MEDIA ACQUISITION CO | 92840T107 | COM CL A | 2,197 | $22,000 | thousands by filing date | |
| INDUSTRIAL TECH ACQ CORP; TNT ACQ DT: 12/9/2021; CASH: $10.10 | 456357102 | COM CL A | 2,152 | $22,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L771 | TREND AGRD GWT | 827 | $22,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 1,340 | $22,000 | thousands by filing date | |
| VIVINT SMART HOME INC | 928542117 | *W EXP 01/17/202 | 2,349 | $22,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 100 | $21,000 | thousands by filing date | put |
| AC IMMUNE SA | H00263105 | SHS | 4,022 | $21,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 4,786 | $21,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,465 | $21,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 1,379 | $21,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 4,220 | $21,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,362 | $21,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 1,496 | $21,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 3,367 | $21,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 19,000 | $21,000 | thousands by filing date | principal |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 759 | $21,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,124 | $21,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 800 | $21,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,604 | $21,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 402 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 371 | $21,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,782 | $21,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 5,290 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E521 | FUND | 1,324 | $21,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 1,960 | $21,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 3,258 | $21,000 | thousands by filing date | |
| LIXTE BIOTECHNOLOGY HLDGS IN | 539319111 | *W EXP 11/30/202 | 23,240 | $21,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 899 | $21,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 18,000 | $21,000 | thousands by filing date | principal |
| TRANSAMERICA ETF TR | 89349P503 | DELTASHS S&P | 355 | $21,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 21,804 | $21,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 5,348 | $21,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 300 | $20,000 | thousands by filing date | put |
| FIRST TR EXCHNG TRADED FD VI | 33740F656 | FT VEST INTE | 1,000 | $20,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 1,494 | $20,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P678 | FTSE UNTD KGDM | 917 | $20,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 7,402 | $20,000 | thousands by filing date | |
| T ROWE PRICE EXCHANGE-TRADED | 87283Q305 | PRICE GRW STOCK | 684 | $20,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 100 | $20,000 | thousands by filing date | put |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 1,023 | $20,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1,969 | $20,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 948 | $20,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 3,103 | $20,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 1,301 | $20,000 | thousands by filing date | |
| BNY MELLON ETF TRUST | 09661T206 | US MDCP CORE EQT | 260 | $20,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 773 | $20,000 | thousands by filing date | |
| BIOCERES CROP SOLUTIONS CORP | G1117K114 | CMN | 3,218 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R738 | CMN | 808 | $20,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E131 | S&P SMLCAP HIG | 991 | $20,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 5,985 | $20,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,186 | $20,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 3,805 | $20,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 7,220 | $20,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 19,000 | $20,000 | thousands by filing date | principal |
| ARCLIGHT CLEAN TRANSITION CO | G04561109 | CL A | 1,834 | $20,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 1,956 | $20,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 1,252 | $20,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,352 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 669 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P571 | FUND | 464 | $20,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 7,219 | $20,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 4,452 | $20,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 1,760 | $20,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 566 | $20,000 | thousands by filing date | |
| MIND TECHNOLOGY INC COM NEW | 602566101 | Stock | 9,021 | $20,000 | thousands by filing date | |
| GREENCITY ACQUISITION CORP | G4086B115 | UNIT 04/30/2026 | 1,924 | $20,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314606 | COMMON | 6,062 | $20,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 2,028 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y251 | CHINA BIOTECHINV | 1,205 | $20,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 1,539 | $20,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,500 | $20,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 3,991 | $20,000 | thousands by filing date | |
| STABLE RD ACQUISITION CORP | 85236Q208 | UNIT 05/15/2026 | 1,017 | $20,000 | thousands by filing date | |
| UTZ BRANDS INC | 918090119 | W EXP 08/28/202 | 1,858 | $20,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 492 | $19,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 2,057 | $19,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 2,748 | $19,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 2,690 | $19,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,379 | $19,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 3,599 | $19,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 414 | $19,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 1,150 | $19,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C888 | US EQT BUFR APR | 634 | $19,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 4,458 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 519 | $19,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 2,895 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 581 | $19,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,362 | $19,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 5,545 | $19,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 635 | $19,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 11,119 | $19,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 12,461 | $19,000 | thousands by filing date | |
| EUCRATES BIOMEDICAL ACQU COR | G3141W114 | UNIT 10/23/2027 | 1,748 | $19,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 2,812 | $19,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 12,584 | $19,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 2,911 | $19,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 99,789 | $19,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 10,005 | $19,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E681 | CMN | 762 | $19,000 | thousands by filing date | |
| PRECIPIO INC | 74019L503 | COM | 9,225 | $19,000 | 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 |