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 |
|---|---|---|---|---|---|---|
| INVO Bioscience, Inc. | 44984F302 | common | 6,393 | $19,000 | thousands by filing date | |
| VESPER HEALTHCARE ACQSTN COR | 92538T203 | UNIT 99/99/9999 | 1,596 | $19,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y651 | NORTH SQUA MCKE | 195 | $19,000 | thousands by filing date | |
| THAYER VENTURES ACQU CORP | 88332T209 | UNIT 01/01/2030 | 1,832 | $19,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K207 | UNIT 06/19/2025 | 1,862 | $19,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 1,017 | $19,000 | thousands by filing date | |
| JAKKS PAC INC | 47012E403 | COM NEW | 3,530 | $18,000 | thousands by filing date | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 249 | $18,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 900 | $18,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 791 | $18,000 | thousands by filing date | |
| PGIM SHORT DUR HIG YLD OPP F | 69355J104 | COM | 874 | $18,000 | thousands by filing date | |
| FRANKLIN FTSE LATIN AMERICA ETF | 35473P561 | ETF | 770 | $18,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 1,337 | $18,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 1,268 | $18,000 | thousands by filing date | |
| SANARA MEDTECH INC | 79957L100 | COMMON STOCK | 369 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 232 | $18,000 | thousands by filing date | |
| VASTA PLATFORM LTD CL A | G9440A109 | Stock | 1,233 | $18,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 4,620 | $18,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 531 | $18,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 682 | $18,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 271 | $18,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 723 | $18,000 | thousands by filing date | |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 4,957 | $18,000 | thousands by filing date | |
| SUNWORKS INC | 86803X204 | COMMON STOCK | 3,533 | $18,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 3,992 | $18,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 8,128 | $18,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 1,467 | $18,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 408 | $18,000 | thousands by filing date | |
| WTS/CLEVER LEAVES HOLDINGS INC 11.5000EXP12/31/2025 | 186760112 | WARR | 11,703 | $18,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 1,934 | $18,000 | thousands by filing date | |
| FUSION FUEL GREEN PLC | G3R25D100 | *W EXP 12/10/202 | 2,632 | $18,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 2,116 | $18,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 1,346 | $18,000 | thousands by filing date | |
| WATFORD HOLDINGS LTD | G94787101 | SHS | 534 | $18,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 9,433 | $18,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 5,569 | $18,000 | thousands by filing date | |
| TPG PACE TECH OPPORTUNITIES | G8990Y111 | UNIT 99/99/9999 | 1,587 | $18,000 | thousands by filing date | |
| OTR ACQUISITION CORP | 67113Q204 | UNIT 10/01/2025 | 1,699 | $18,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A651 | NATIONWIDE MAX | 498 | $18,000 | thousands by filing date | |
| ALUSSA ENERGY ACQUISITION CO | G0232J127 | UNIT 10/31/2026 | 1,717 | $18,000 | thousands by filing date | |
| PTK ACQUISITION CORP | 69375F207 | UNIT 99/99/9999 | 1,693 | $18,000 | thousands by filing date | |
| ION ACQUISITION CORP 1 LTD | G49392122 | UNIT 99/99/9999 | 1,469 | $18,000 | thousands by filing date | |
| WANDA SPORTS GROUP CO LTD | 93368R101 | SPONSORED ADS | 7,004 | $18,000 | thousands by filing date | |
| CHINA SXT PHARMACEUTICALS IN | G2161P108 | ORD SHS | 55,184 | $18,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884203 | UNIT 99/99/9999 | 979 | $18,000 | thousands by filing date | |
| SP Funds S&P 500 Sharia Industry Exclusions ETF | 886364801 | COM | 661 | $17,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,489 | $17,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 100 | $17,000 | thousands by filing date | put |
| BIOATLA INC | 09077B104 | COM | 506 | $17,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 500 | $17,000 | thousands by filing date | put |
| VEONEER INC | 92336X109 | COM | 783 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 1,056 | $17,000 | thousands by filing date | |
| VALHI INC | 918905209 | COMMON STOCK | 1,167 | $17,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 5,076 | $17,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 3,527 | $17,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 745 | $17,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF MAY | 45782C292 | ETF | 629 | $17,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 253 | $17,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,600 | $17,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 4,639 | $17,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509VAA8 | NOTE 1.750%12/1 | 16,000 | $17,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 2,173 | $17,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 4,287 | $17,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 4,830 | $17,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 3,561 | $17,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 13,700 | $17,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 16,000 | $17,000 | thousands by filing date | principal |
| TITAN MED INC | 88830X819 | COM | 9,436 | $17,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,179 | $17,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 1,258 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 750 | $17,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 17,093 | $17,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 9,303 | $17,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 4,092 | $17,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 9,154 | $17,000 | thousands by filing date | |
| PGIM ETF TR | 69344A305 | QMA STRGC ALPH | 293 | $17,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 7,001 | $17,000 | thousands by filing date | |
| BREEZE HOLDINGS ACQUISITN CO | 106762107 | COM | 1,652 | $17,000 | thousands by filing date | |
| PACER FDS TR | 69374H626 | CSOP FTSE CHINA | 743 | $17,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602605 | COM NEW | 1,694 | $17,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 812 | $17,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 4,812 | $17,000 | thousands by filing date | |
| MINGZHU LOGISTICS HLDGS LTD | G6180C105 | COM | 1,669 | $17,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 5,417 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y525 | MSCI CHINA RE | 1,054 | $17,000 | thousands by filing date | |
| AGF INVTS TR | 00110G887 | AGFIQ HEDGED DIV | 790 | $17,000 | thousands by filing date | |
| BLUE HAT INTERACTIVE ENTMT T | G1329V106 | SHS | 19,012 | $17,000 | thousands by filing date | |
| NEWHOLD INVESTMENT CORP | 651448102 | COM CL A | 1,671 | $17,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 2,166 | $17,000 | thousands by filing date | |
| CF FINANCE ACQUISITION CORP | 15725Q104 | COM CL A A | 1,541 | $17,000 | thousands by filing date | |
| NEXTGEN ACQUISITION CORP | G65305107 | CL A | 1,719 | $17,000 | thousands by filing date | |
| STAR PEAK ENERGY TRANSITION | 855185112 | *W EXP 08/11/202 | 2,916 | $17,000 | thousands by filing date | |
| DEERFIELD HEALTHCARE TECH AC | 244413209 | UNIT 07/16/2025 | 1,161 | $17,000 | thousands by filing date | |
| NOVUS CAP CORP | 67012U207 | UNIT 06/30/2027 | 870 | $17,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 4,076 | $16,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 100 | $16,000 | thousands by filing date | put |
| ELUTIA INC | 05479K106 | CL A COM | 1,148 | $16,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 661 | $16,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 900 | $16,000 | thousands by filing date | put |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,270 | $16,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 2,345 | $16,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 2,242 | $16,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,400 | $16,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 577 | $16,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 14,373 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 568 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138J650 | BULLETSHS 2027 | 614 | $16,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 921 | $16,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,637 | $16,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q105 | SIMP AF WORL ETF | 700 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 863 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A248 | CMN | 626 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L108 | CMN | 665 | $16,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 1,154 | $16,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 5,615 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 1,120 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 199 | $16,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 5,047 | $16,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 1,310 | $16,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 17,261 | $16,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 15,921 | $16,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 3,682 | $16,000 | thousands by filing date | |
| TRITERRAS INC | G9103H102 | COM CL A | 1,456 | $16,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 2,139 | $16,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 16,000 | $16,000 | thousands by filing date | principal |
| CENTOGENE N V | N1976T109 | COM | 1,528 | $16,000 | thousands by filing date | |
| PROS HOLDINGS INC | 74346YAH6 | BOND | 15,000 | $16,000 | thousands by filing date | principal |
| CURIS INC | 231269200 | COM | 1,921 | $16,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 2,532 | $16,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 2,726 | $16,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,241 | $16,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,135 | $16,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 1,324 | $16,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 900 | $16,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,943 | $16,000 | thousands by filing date | |
| BRILLIANT ACQUISITION CORP | G1643W103 | UNIT 12/31/2020 | 1,446 | $16,000 | thousands by filing date | |
| BURGERFI INTERNATIONAL INC | 12122L119 | *W EXP 12/16/202 | 7,297 | $16,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 4,183 | $16,000 | thousands by filing date | |
| BNY MELLON SHORT DURATION CORP BD ETF | 09661T701 | ETF | 316 | $16,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 1,276 | $16,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886TAJ1 | NOTE 1.750% 6/0 | 15,000 | $16,000 | thousands by filing date | principal |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 4,292 | $16,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 7,629 | $16,000 | thousands by filing date | |
| STABLE RD ACQUISITION CORP | 85236Q117 | *W EXP 05/15/202 | 2,981 | $16,000 | thousands by filing date | |
| TIDAL ETF TR | 886364108 | AWARE ULTRASHR | 321 | $16,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 2,107 | $16,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 1,324 | $16,000 | thousands by filing date | |
| CF FINANCE ACQUISITION CORP | 15725Q203 | UNIT 08/01/2027 | 1,325 | $16,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 500 | $16,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 200 | $15,000 | thousands by filing date | put |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,757 | $15,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 2,933 | $15,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 1,856 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 319 | $15,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 135 | $15,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 8,382 | $15,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 2,324 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 499 | $15,000 | thousands by filing date | |
| Hartford Schroders Tax-Aware Bond ETF | 41653L404 | ETF | 671 | $15,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 3,610 | $15,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 3,009 | $15,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092378 | CMN | 700 | $15,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 3,869 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 390 | $15,000 | thousands by filing date | |
| Reviva Pharmaceuticals Holdings Inc | 76152G100 | Common Stock | 1,710 | $15,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 3,247 | $15,000 | thousands by filing date | |
| ISHARES TR | 46435U333 | FOCUSD VAL FAC | 355 | $15,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 174 | $15,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 4,978 | $15,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD | 23248VAB1 | NOTE 11/1 | 12,000 | $15,000 | thousands by filing date | principal |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 14,000 | $15,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 12,000 | $15,000 | thousands by filing date | principal |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 15,000 | $15,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 13,000 | $15,000 | thousands by filing date | principal |
| IDEANOMICS INC | 45166V106 | COM | 7,628 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P464 | FUND | 223 | $15,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 6,846 | $15,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 2,476 | $15,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,116 | $15,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 987 | $15,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 1,280 | $15,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 475 | $15,000 | thousands by filing date | |
| NULL | 09071M205 | NULL | 6,054 | $15,000 | thousands by filing date | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T108 | COM | 3,347 | $15,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 2,949 | $15,000 | thousands by filing date | |
| KIROMIC BIOPHARMA INC | 497634105 | COM | 1,730 | $15,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W303 | COM | 5,623 | $15,000 | thousands by filing date | |
| ACTIVESHARES ETF TR | 00509W105 | CLRBRDG FCS ESG | 500 | $15,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 3,191 | $15,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 512 | $15,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 4,357 | $15,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 20,777 | $15,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514129 | UNIT 99/99/9999 | 1,000 | $15,000 | thousands by filing date | |
| Spire Global Inc Com Cl A New | 639358100 | COM | 1,545 | $15,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 11,760 | $15,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 4,656 | $15,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,462 | $15,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC | 25614T309 | COM NEW | 2,494 | $15,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 1,066 | $15,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 1,189 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H706 | UNCVTL OIL GAS | 191 | $15,000 | thousands by filing date | |
| SPARTACUS ACQUISITION CORP | 84677L208 | Cmn | 1,414 | $15,000 | thousands by filing date | |
| EMPOWER LTD | G3R39W128 | UNIT 99/99/9999 | 1,489 | $15,000 | thousands by filing date | |
| FORUM MERGER III CORP | 349885111 | COM CL A | 4,239 | $15,000 | thousands by filing date | |
| GALILEO ACQUISITION CORP | G3770A128 | UNIT 99/99/9999 | 1,385 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 3,081 | $15,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 569 | $14,000 | thousands by filing date | |
| PHARMING GROUP NV SPON ADS | 71716E105 | ADR | 916 | $14,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 867 | $14,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 8,348 | $14,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 429 | $14,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984V209 | COMMON STOCK | 1,170 | $14,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,342 | $14,000 | thousands by filing date | |
| US GOLD CORP | 90291C201 | COMMON STOCK | 865 | $14,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 805 | $14,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 547 | $14,000 | thousands by filing date | |
| FIRST TR HIGH YIELD OPPRT 20 | 33741Q107 | COM | 695 | $14,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 4,000 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 528 | $14,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 5,453 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 504 | $14,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 2,127 | $14,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 2,319 | $14,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,912 | $14,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 2,307 | $14,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 4,400 | $14,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 8,633 | $14,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 11,000 | $14,000 | thousands by filing date | principal |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 4,507 | $14,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 805 | $14,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760194 | COM | 26,358 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 369 | $14,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 4,278 | $14,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,341 | $14,000 | thousands by filing date | |
| HOLICITY INC | 435063201 | UNIT 08/05/2025 | 1,392 | $14,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,611 | $14,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,375 | $14,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 1,030 | $14,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,909 | $14,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 2,073 | $14,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 4,466 | $14,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,500 | $14,000 | thousands by filing date | |
| DOLPHIN ENTMT INC | 25686H209 | COM NEW | 4,231 | $14,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 27,859 | $14,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 5,801 | $14,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 4,468 | $14,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 3,141 | $14,000 | thousands by filing date | |
| OLB Group Inc | 67086U307 | COM | 2,859 | $14,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS CORP | 284849114 | W EXP 08/03/202 | 3,816 | $14,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 6,950 | $14,000 | thousands by filing date | |
| NORTH MOUNTAIN MERGER CORP | 661204107 | CMN | 1,400 | $14,000 | thousands by filing date | |
| LUMINAR TECHNOLOGIES INC | 550424113 | *W EXP 12/02/202 | 843 | $14,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C109 | COM CL A | 1,259 | $14,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 353 | $14,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 2,000 | $14,000 | thousands by filing date | |
| Sequential Brands Group Inc(NV) | 81734P206 | CS | 954 | $14,000 | thousands by filing date | |
| FAST ACQUISITION CORP | 311875207 | UNIT 99/99/9999 | 1,290 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A537 | CBOE VEST S&P | 301 | $14,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 11,643 | $14,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865111 | *W EXP 01/22/202 | 3,269 | $14,000 | thousands by filing date | |
| ALTIMAR ACQUISITION CORP | G03707125 | UNIT 99/99/9999 | 1,129 | $14,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R200 | UNIT 01/07/2019 | 747 | $14,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 4,540 | $13,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 1,429 | $13,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 310 | $13,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,324 | $13,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 2,150 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J742 | RAFI STRATGIC US | 428 | $13,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 9,879 | $13,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H369 | INSPI GROWT ETF | 478 | $13,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,584 | $13,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 1,898 | $13,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 769 | $13,000 | thousands by filing date | |
| IDEAL PWR INC | 451622203 | COM NEW | 1,598 | $13,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,085 | $13,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 546 | $13,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 641 | $13,000 | thousands by filing date | |
| JERASH HLDGS US INC | 47632P101 | CMN | 2,190 | $13,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 4,191 | $13,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E661 | CMN | 794 | $13,000 | thousands by filing date | |
| PACER FDS TR | 69374H402 | CMN | 360 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 336 | $13,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 792 | $13,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 318 | $13,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 2,853 | $13,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 2,320 | $13,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,123 | $13,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 4,088 | $13,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AF0 | NOTE 0.250% 8/1 | 12,000 | $13,000 | thousands by filing date | principal |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 4,207 | $13,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 3,966 | $13,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 1,631 | $13,000 | thousands by filing date | |
| ALTERYX INC | 02156BAD5 | BOND | 13,000 | $13,000 | thousands by filing date | principal |
| HARVEST CAP CR CORP | 41753F109 | COM | 1,710 | $13,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 12,760 | $13,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 275 | $13,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 3,452 | $13,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U209 | COM | 7,468 | $13,000 | thousands by filing date | |
| GREEN GIANT INC | 16948W209 | COM NEW | 7,298 | $13,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 27,538 | $13,000 | thousands by filing date | |
| ACON S2 ACQUISITION CORP | G00748106 | CL SHS | 1,251 | $13,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 925 | $13,000 | thousands by filing date | |
| GREENCITY ACQUISITION CORP | G4086B107 | COM | 1,299 | $13,000 | thousands by filing date | |
| MALACCA STRAITS ACQUISITION | G5859B125 | UNIT 99/99/9999 | 1,247 | $13,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 15,000 | $13,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 12,000 | $13,000 | thousands by filing date | principal |
| REMARK HLDGS INC | 75955K102 | COM | 6,600 | $13,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L121 | UNIT 99/99/9999 | 1,000 | $13,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S116 | CL A SHS | 1,000 | $13,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP II | G89554102 | COM CL A | 1,249 | $13,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 32,140 | $13,000 | thousands by filing date | |
| GLOBAL BETA ETF TR | 37959X100 | CMN | 757 | $13,000 | thousands by filing date | |
| DUDDELL STREET ACQUISITN COR | G28553108 | CMN | 1,305 | $13,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 778 | $13,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A370 | LONCAR CHINA BIO | 390 | $13,000 | thousands by filing date | |
| ORIENTAL CULTURE HOLDING LTD | G6796W107 | ORD SHS | 2,667 | $13,000 | thousands by filing date | |
| PETROS PHARMACEUTICALS INC | 71678J100 | COM | 2,867 | $13,000 | thousands by filing date | |
| TEKKORP DIGITAL ACQUISITN CO | G8739H122 | UNIT 09/29/2027 | 1,177 | $13,000 | thousands by filing date | |
| SONNET BIOTHERAPEUTC HLDNG I | 83548R105 | COM | 5,855 | $13,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 18,338 | $13,000 | thousands by filing date | |
| TPG PACE BEN FIN CORP | G8990D109 | UNIT 99/99/9999 | 473 | $13,000 | thousands by filing date | |
| NOVUS CAP CORP WT EXP 063027 | 67012U116 | Stock | 2,708 | $13,000 | thousands by filing date | |
| YELLOWSTONE ACQUISITION CO COM CL A | 98566K105 | Stock | 1,240 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 582 | $13,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP | G0370L124 | UNIT 99/99/9999 | 1,000 | $13,000 | thousands by filing date | |
| OPENDOOR TECHNOLOGIES INC | 683712111 | *W EXP 12/18/202 | 1,700 | $13,000 | thousands by filing date | |
| BCTG ACQUISITION CORP | 05492W103 | COM | 1,148 | $13,000 | thousands by filing date | |
| THERAPEUTICS ACQUISITION COR | 88339T103 | COM CL A | 948 | $13,000 | thousands by filing date | |
| COLLECTIVE GROWTH CORP | 19424L200 | UNIT 04/29/2025 | 771 | $13,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 100 | $12,000 | thousands by filing date | put |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 859 | $12,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 43 | $12,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 700 | $12,000 | thousands by filing date | put |
| AUDIOEYE INC | 050734201 | COM NEW | 458 | $12,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P827 | FTSE CANADA | 423 | $12,000 | thousands by filing date | |
| COMPASS PATHWAYS PLC | 20451W101 | SPONSORED ADS | 245 | $12,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 613 | $12,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 800 | $12,000 | thousands by filing date | put |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 464 | $12,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 1,765 | $12,000 | thousands by filing date | |
| SONIDA SENIOR LIVING INC | 140475203 | COMMON STOCK | 943 | $12,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 1,723 | $12,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 1,592 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y269 | NASDQ 100 CVRDGW | 419 | $12,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 514 | $12,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,139 | $12,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,851 | $12,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L670 | CRE SLCT BD FD | 447 | $12,000 | thousands by filing date | |
| VIOMI TECHNOLOGY CO LTD | 92762J103 | SPONSORED ADS | 2,274 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E281 | DAIL MS MEXI ETF | 182 | $12,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 4,200 | $12,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 997 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 326 | $12,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 4,777 | $12,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 666 | $12,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P114 | *W EXP 99/99/999 | 3,070 | $12,000 | thousands by filing date | |
| PURETECH HEALTH PLC | 746237106 | ADS | 225 | $12,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 11,000 | $12,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 11,000 | $12,000 | thousands by filing date | principal |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 9,000 | $12,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G106 | COM | 987 | $12,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 920 | $12,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 16,858 | $12,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 2,811 | $12,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 1,913 | $12,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 1,146 | $12,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 14,997 | $12,000 | thousands by filing date | |
| MSP RECOVERY INC COM CL A | 53625R104 | Stock | 1,235 | $12,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $12,000 | thousands by filing date | principal |
| METACRINE INC | 59101E103 | COM | 1,480 | $12,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 8,387 | $12,000 | thousands by filing date | |
| AJAX I | G0190X118 | UNIT 99/99/9999 | 1,000 | $12,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 10,536 | $12,000 | thousands by filing date | |
| HIGHEST PERFORMANCES HOLDINGS - ADR | 69373Y109 | COM | 2,025 | $12,000 | thousands by filing date | |
| DUNE ACQUISITION CORP | 265334201 | UNIT 10/29/2027 | 1,168 | $12,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 15,932 | $12,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 2,225 | $12,000 | thousands by filing date | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 5,201 | $12,000 | thousands by filing date | |
| RECHARGE ACQUISITION CORP | 756229100 | CMN | 1,177 | $12,000 | thousands by filing date | |
| SENESTECH INC | 81720R208 | COM NEW | 7,355 | $12,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 5,626 | $12,000 | thousands by filing date | |
| REALPAGE INC | 75606NAC3 | NOTE 1.500% 5/1 | 9,000 | $12,000 | thousands by filing date | principal |
| ARCLIGHT CLEAN TRANSITION CO | G04561117 | UNIT 09/21/2025 | 1,000 | $12,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F110 | SHS NEW | 1,012 | $12,000 | thousands by filing date | |
| VISTAS MEDIA ACQUISITION CO | 92840T206 | UNIT 08/03/2025 | 1,138 | $12,000 | thousands by filing date | |
| PGIM ETF TR | 69344A404 | QMA STRATEGIC | 200 | $12,000 | thousands by filing date | |
| KISMET ACQUISITION ONE CORP | G52753103 | SHS | 1,185 | $12,000 | thousands by filing date | |
| D8 HOLDINGS CORP | G2614K102 | UNIT 99/99/9999 | 1,145 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347G846 | ULSHRT SEMIC NEW | 857 | $12,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130123 | UNIT 03/01/2024 | 1,103 | $12,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 208 | $12,000 | thousands by filing date | |
| PANACEA ACQUISITION CORP | 698102209 | UNIT 99/99/9999 | 964 | $12,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 2,028 | $11,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 552 | $11,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 860 | $11,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 1,187 | $11,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 2,407 | $11,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 340 | $11,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 1,489 | $11,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 232 | $11,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 3,000 | $11,000 | thousands by filing date | |
| REZOLUTE INC | 76200L309 | COMMON STOCK | 946 | $11,000 | thousands by filing date | |
| PACER FDS TR | 69374H634 | AMERICAN ENERGY | 611 | $11,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 634 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 347 | $11,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2028 MUNICIPAL BOND ETF | 46138J486 | UIE | 410 | $11,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F813 | ACTV FCTR MDCP | 500 | $11,000 | thousands by filing date | |
| INVENTIVA SA | 46124U107 | ADS | 749 | $11,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 3,035 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 478 | $11,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 2,550 | $11,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,129 | $11,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 4,060 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 172 | $11,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,774 | $11,000 | thousands by filing date | |
| SCIENJOY HOLDING CORP | G7864D112 | CLASS A ORD | 1,225 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y350 | X EMERGING MKT | 411 | $11,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 19,719 | $11,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 1,127 | $11,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 2,073 | $11,000 | thousands by filing date | |
| GLOBAL BLUE GROUP HOLDING AG ORD SHS | H33700107 | Stock | 816 | $11,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 8,785 | $11,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 1,121 | $11,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 9,000 | $11,000 | thousands by filing date | principal |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 11,000 | $11,000 | thousands by filing date | principal |
| ALLOVIR INC | 019818103 | COM | 282 | $11,000 | thousands by filing date | |
| LION GROUP HOLDING LTD | 53620U102 | ADR | 5,456 | $11,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 1,500 | $11,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 2,494 | $11,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 8,403 | $11,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 7,684 | $11,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 2,456 | $11,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 1,407 | $11,000 | thousands by filing date | |
| GENIUS SPORTS LIMITED | 233277102 | SHARES CL A | 600 | $11,000 | thousands by filing date | |
| Renalytix PLC | 75973T101 | ADS | 659 | $11,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 4,650 | $11,000 | thousands by filing date | |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 10,000 | $11,000 | thousands by filing date | principal |
| LEGG MASON ETF INVT | 52468L786 | WESTN AST SHRT | 410 | $11,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 6,454 | $11,000 | thousands by filing date | |
| CANOO INC | 13803R110 | *W EXP 12/21/202 | 3,024 | $11,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W501 | COM | 2,278 | $11,000 | thousands by filing date | |
| PRIME IMPACT ACQUISITION I | G61074103 | SHS CL A | 1,112 | $11,000 | thousands by filing date | |
| SADOT GROUP INC | 627333107 | COM | 6,036 | $11,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 4,529 | $11,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L207 | COMMON | 311 | $11,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 13,015 | $11,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 1,653 | $11,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P125 | W EXP 10/12/202 | 30,921 | $11,000 | thousands by filing date | |
| SUSTAINABLE OPPORTNTS ACQ CO | G8598Y117 | W EXP 99/99/999 | 4,987 | $11,000 | thousands by filing date | |
| TELIGENT INC NEW COM NEW | 87960W203 | COM | 14,555 | $11,000 | thousands by filing date | |
| KUBIENT INC COM USD0.00001 | 50116V107 | COM | 2,011 | $11,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 1,038 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H508 | MUNI ALOCATN ETF | 446 | $11,000 | thousands by filing date | |
| LEFTERIS ACQUISITION CORP UNIT EX | 52470X208 | Stock | 1,019 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y244 | EMKT INTRNT ECOM | 711 | $11,000 | thousands by filing date | |
| UCOMMUNE INTERNATIONAL LTD | G9449A100 | COM | 1,728 | $11,000 | thousands by filing date | |
| CHP MERGER CORP | 12558Y205 | UNIT 11/22/2024 | 1,009 | $11,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 10,000 | $11,000 | thousands by filing date | principal |
| PROPERTY SOLUTIONS ACQUISITI | 74348Q207 | UNIT 03/30/2027 | 1,027 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347G812 | ULTSHT CONS SERV | 938 | $11,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 813 | $11,000 | thousands by filing date | |
| INDUSTRIAL TECH ACQU INC | 456357201 | UNIT 08/31/2025 | 1,012 | $11,000 | thousands by filing date | |
| RICE ACQUISITION CORP | 762594208 | UNIT 99/99/9999 | 1,000 | $11,000 | thousands by filing date | |
| KISMET ACQUISITION ONE CORP | G52753129 | UNIT 08/06 | 1,079 | $11,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 1,005 | $11,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION | 03768F201 | UNIT 06/11/2026 | 668 | $11,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 700 | $11,000 | thousands by filing date | |
| InterPrivate Acquisition Corp | 46064A111 | INTERPRIVATE ACQUISITI -CW24 | 2,616 | $11,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 6,169 | $10,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 30,848 | $10,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 100 | $10,000 | thousands by filing date | put |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 500 | $10,000 | thousands by filing date | put |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 9,000 | $10,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 114 | $10,000 | thousands by filing date | |
| IMMUNOME INC | 45257U108 | COM | 1,034 | $10,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 7,096 | $10,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 371 | $10,000 | thousands by filing date | |
| RUSH STREET INTERACTIVE INC | 782011100 | COM | 465 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 269 | $10,000 | thousands by filing date | |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 2,697 | $10,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 2,596 | $10,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 4,263 | $10,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 961 | $10,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 1,946 | $10,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 1,521 | $10,000 | thousands by filing date | |
| EAGLE POINT INCOME COMPANY I | 269817102 | COM | 704 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 112 | $10,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 1,232 | $10,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 1,052 | $10,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 342 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 191 | $10,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 1,168 | $10,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 428 | $10,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 3,471 | $10,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 2,968 | $10,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 3,391 | $10,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 864 | $10,000 | thousands by filing date | |
| ACKRELL SPAC PARTNERS I CO | 00461L204 | COMMON STOCK | 987 | $10,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 512 | $10,000 | 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 |