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 |
|---|---|---|---|---|---|---|
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 10,000 | $10,000 | thousands by filing date | principal |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 9,000 | $10,000 | thousands by filing date | principal |
| VISLINK TECHNOLOGIES INC | 92836Y300 | COM | 7,724 | $10,000 | thousands by filing date | |
| AESTHETIC MED INTL HLDG GR L | 00809M104 | ADR | 1,970 | $10,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F770 | CONV | 200 | $10,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P514 | FUND | 196 | $10,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 6,684 | $10,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 1,164 | $10,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 10,180 | $10,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 587 | $10,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 947 | $10,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 5,768 | $10,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 356 | $10,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 10,000 | $10,000 | thousands by filing date | principal |
| GENETIC TECHNOLOGIES LIMITED NEW SPONSRD ADR | 37185R307 | NEW SPONSRD ADR | 2,830 | $10,000 | thousands by filing date | |
| TIMBER PHARMACEUTICALS INC | 887080109 | COM | 12,978 | $10,000 | thousands by filing date | |
| LIZHI INC | 53933L104 | ADS | 2,476 | $10,000 | thousands by filing date | |
| CINCINNATI BANCORP INC | 17187C102 | COM | 817 | $10,000 | thousands by filing date | |
| ETFMG Sit Ultra Short ETF | 26924G789 | Exchange Traded Fund | 200 | $10,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 6,787 | $10,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 2,699 | $10,000 | thousands by filing date | |
| ALTITUDE ACQUISITION CORP | 02156Y202 | UNIT 11/30/2027 | 973 | $10,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 9,000 | $10,000 | thousands by filing date | principal |
| CYREN LTD | M26895108 | SHS | 9,272 | $10,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 9,000 | $10,000 | thousands by filing date | principal |
| GREAT ELM CAP CORP | 390320109 | COM | 2,660 | $10,000 | thousands by filing date | |
| POLISHED COM INC | 28252C109 | CMN | 1,231 | $10,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 1,978 | $10,000 | thousands by filing date | |
| AEA-BRIDGES IMPACT CORP | G01046104 | CMN | 974 | $10,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W622 | INOVATIV HLTCR | 305 | $10,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N304 | COM NEW | 1,196 | $10,000 | thousands by filing date | |
| WISEKEY INTERNATIONAL HLDS L | 97727L200 | SPON ADS | 1,439 | $10,000 | thousands by filing date | |
| MP MATERIALS CORP | 553368119 | *W EXP 05/04/202 | 647 | $10,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 100 | $10,000 | thousands by filing date | |
| APPLIED UV INC | 03828V105 | COM | 2,167 | $10,000 | thousands by filing date | |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 59 | $10,000 | thousands by filing date | |
| AENZA S.A.A | 00776D103 | SPONSORED ADS | 4,017 | $10,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M133 | UNIT 05/10/2024 | 899 | $10,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 12,904 | $10,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 6,343 | $10,000 | thousands by filing date | |
| SOFTWARE ACQUISITN GRUP INC | 83407F200 | UNIT 99/99/9999 | 919 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 1,994 | $10,000 | thousands by filing date | |
| LIV CAP ACQUISITION CORP | G5510C108 | CL A | 1,000 | $10,000 | thousands by filing date | |
| MOXIAN INC | 624697306 | COM | 6,941 | $10,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108862 | CRWDBURAU PEER | 695 | $10,000 | thousands by filing date | |
| PANACEA ACQUISITION CORP | 698102118 | *W EXP 07/07/202 | 3,056 | $10,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 5,426 | $9,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 200 | $9,000 | thousands by filing date | put |
| V F CORP COM | 918204108 | Stock | 100 | $9,000 | thousands by filing date | put |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 317 | $9,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 2,218 | $9,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 4,519 | $9,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 1,003 | $9,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 158 | $9,000 | thousands by filing date | |
| KLX ENERGY SERVICES HOLDINGS | 48253L205 | COM NEW | 1,376 | $9,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,125 | $9,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 914 | $9,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,408 | $9,000 | thousands by filing date | |
| ZENTALIS PHARMACEUTICALS INC | 98943L107 | COMMON STOCK | 182 | $9,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 748 | $9,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 3,671 | $9,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092535 | INTL MULTIFACTOR | 335 | $9,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 587 | $9,000 | thousands by filing date | |
| PROSHARES TR II | 74347W270 | ULTRA YEN NEW | 153 | $9,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 859 | $9,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 7,365 | $9,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 1,723 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P504 | INCOME EQT FOCUS | 213 | $9,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 3,249 | $9,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 695 | $9,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 3,645 | $9,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 537 | $9,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 325 | $9,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 23,551 | $9,000 | thousands by filing date | |
| BURNING ROCK BIOTECH LTD | 12233L107 | SPONSORED ADS | 410 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 10,000 | $9,000 | thousands by filing date | principal |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 8,000 | $9,000 | thousands by filing date | principal |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 7,000 | $9,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 6,000 | $9,000 | thousands by filing date | principal |
| EVER GLORY INTL GRP INC | 299766204 | COM | 3,084 | $9,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,385 | $9,000 | thousands by filing date | |
| MEIWU TECHNOLOGY COMPANY LTD | G9604C107 | ORD SHS | 228 | $9,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L105 | SHS CL A | 745 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J668 | BULLSHS 23 USD | 345 | $9,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 4,600 | $9,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 317 | $9,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 14,640 | $9,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 3,319 | $9,000 | thousands by filing date | |
| INTERPACE BIOSCIENCES INC | 46062X303 | COM | 2,946 | $9,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 6,490 | $9,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 429 | $9,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 1,642 | $9,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328874 | COM NEW | 4,207 | $9,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K209 | UNIT 99/99/9999 | 146 | $9,000 | thousands by filing date | |
| NORTH MOUNTAIN MERGER CORP | 661204206 | UNIT 09/16/2025 | 834 | $9,000 | thousands by filing date | |
| MOLECULAR DATA INC | 60852L106 | SPONSORED ADS | 11,014 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A677 | NATIONWIDE ETF | 248 | $9,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 1,568 | $9,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744120 | UNIT 99/99/9999 | 626 | $9,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A115 | *W EXP 05/24/202 | 3,067 | $9,000 | thousands by filing date | |
| SENECA BIOPHARMA INC | 81689B103 | COM | 10,350 | $9,000 | thousands by filing date | |
| URBAN TEA INC | G9396G118 | ORD SHS NEW | 4,942 | $9,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679104 | ETN LKD 36 | 263 | $9,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 1,306 | $8,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 500 | $8,000 | thousands by filing date | put |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 3,562 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 443 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 132 | $8,000 | thousands by filing date | |
| GOLDMINING INC | 38149E101 | COM | 3,801 | $8,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 1,512 | $8,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 552 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 614 | $8,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 200 | $8,000 | thousands by filing date | |
| RAND CAP CORP COM NEW | 752185207 | CEF | 476 | $8,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 3,059 | $8,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 1,938 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 125 | $8,000 | thousands by filing date | |
| ISHARES TR | 46436E536 | US SML CP VALUE | 305 | $8,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 727 | $8,000 | thousands by filing date | |
| WAH FU EDUCATION GROUP LIMIT | G94184101 | SHS | 2,034 | $8,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 15,420 | $8,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 574 | $8,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 11,439 | $8,000 | thousands by filing date | |
| PHX MINERALS INC CL A | 69291A100 | Stock | 3,347 | $8,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y300 | ADR NEW | 618 | $8,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 661 | $8,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 731 | $8,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 23,511 | $8,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC | 462222AB6 | NOTE 0.125%12/1 | 8,000 | $8,000 | thousands by filing date | principal |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 8,000 | $8,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 8,000 | $8,000 | thousands by filing date | principal |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 8,000 | $8,000 | thousands by filing date | principal |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 9,000 | $8,000 | thousands by filing date | principal |
| SOCIETAL CDMO INC | 75629F109 | COM | 2,715 | $8,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,527 | $8,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 1,697 | $8,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 4,954 | $8,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,633 | $8,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 18,910 | $8,000 | thousands by filing date | |
| Curiositystream Inc W Exp 10/14/202 | 23130Q115 | SPAC Combination | 3,146 | $8,000 | thousands by filing date | |
| AMERICAN CUSTOMER SATISFACTION ETF | 26922A776 | ETF | 183 | $8,000 | thousands by filing date | |
| NANOVIBRONIX INC | 63008J108 | COM | 11,049 | $8,000 | thousands by filing date | |
| INTELLIGENT BIO SOLUTIONS IN | 36151G105 | COM | 1,051 | $8,000 | thousands by filing date | |
| EQONEX LIMITED | Y2074E109 | SHS | 468 | $8,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767801 | MSCI ALL CHINA | 232 | $8,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L204 | COM NEW | 1,114 | $8,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 16,813 | $8,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 1,553 | $8,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 1,809 | $8,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 714 | $8,000 | thousands by filing date | |
| SUSTAINABLE OPPORTNTS ACQ CO | G8598Y125 | UNIT 99/99/9999 | 661 | $8,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 6,100 | $8,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 3,050 | $8,000 | thousands by filing date | |
| KAIXIN AUTO HLDGS | G5223X100 | CMN | 2,242 | $8,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255807 | COM | 2,489 | $8,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 2,120 | $8,000 | thousands by filing date | |
| MONTES ARCHIMEDES ACQUISITIO | 612657106 | COM CL A | 810 | $8,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISITION | 344328117 | *W EXP 08/11/202 | 1,820 | $8,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 104 | $8,000 | thousands by filing date | |
| SPORTS ENTERTAINMENT ACQU CO | 84918M106 | COM CL A | 800 | $8,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 3,319 | $8,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 9,000 | $8,000 | thousands by filing date | principal |
| OMNICHANNEL ACQUISITION CORP | 68218L207 | UNIT 99/99/9999 | 794 | $8,000 | thousands by filing date | |
| DFP HEALTHCARE ACQUISITNS CO | 23343Q209 | UNIT 03/31/2025 | 702 | $8,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 7,924 | $8,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 1,911 | $8,000 | thousands by filing date | |
| GOLDEN NUGGET ONLINE GAMIN | 38113L115 | *W EXP 05/09/202 | 890 | $8,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679724 | BIG OIL INDX 3X | 1,361 | $8,000 | thousands by filing date | |
| NEWBORN ACQUISITION CORP | G6463T114 | *W EXP 02/03/202 | 2,553 | $8,000 | thousands by filing date | |
| MOUNTAIN CREST ACQUISITION C | 62401M205 | UNIT 03/19/2025 | 717 | $8,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 1,707 | $7,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 2,110 | $7,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 100 | $7,000 | thousands by filing date | put |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 113 | $7,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 14,002 | $7,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,475 | $7,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 10,132 | $7,000 | thousands by filing date | |
| CIVEO CORP | 17878Y207 | COMMON STOCK | 517 | $7,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 1,013 | $7,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 330 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 579 | $7,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 2,897 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 633 | $7,000 | thousands by filing date | |
| HERITAGE GLOBAL INC | 42727E103 | COM | 2,774 | $7,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 387 | $7,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,853 | $7,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P507 | ST STR SECTO ETF | 227 | $7,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W580 | INFLATION HEDG | 237 | $7,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 142 | $7,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 2,258 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430362 | ACCESS INFLATI | 115 | $7,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 2,894 | $7,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 823 | $7,000 | thousands by filing date | |
| REPARE THERAPEUTICS INC | 760273102 | COM | 200 | $7,000 | thousands by filing date | |
| BRAINSWAY LTD | 10501L106 | CMN | 959 | $7,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 939 | $7,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 2,696 | $7,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 390 | $7,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 1,715 | $7,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 320 | $7,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 298 | $7,000 | thousands by filing date | |
| ABRAXAS PETE CORP COM NEW | 003830304 | Stock | 3,178 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 500 | $7,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 7,000 | $7,000 | thousands by filing date | principal |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 6,000 | $7,000 | thousands by filing date | principal |
| CBDMD INC | 12482W101 | COM | 2,457 | $7,000 | thousands by filing date | |
| CNFINANCE HLDGS LTD | 18979T105 | SPON ADS | 1,605 | $7,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 5,273 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 334 | $7,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 314 | $7,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 287 | $7,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 697 | $7,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 690 | $7,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 7,016 | $7,000 | thousands by filing date | |
| IMMATICS N.V | N44445117 | *W EXP 07/01/202 | 2,260 | $7,000 | thousands by filing date | |
| SMART POWERR CORP | 168913309 | COM | 1,277 | $7,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678507 | COM | 2,051 | $7,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514103 | SHS CL A | 500 | $7,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 10,353 | $7,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 4,961 | $7,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 4,983 | $7,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 6,000 | $7,000 | thousands by filing date | principal |
| CREATD INC | 225265115 | *W EXP 09/15/202 | 3,622 | $7,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L203 | COM NEW | 3,002 | $7,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 251 | $7,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K116 | *W EXP 04/16/202 | 2,159 | $7,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 11,743 | $7,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 2,467 | $7,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 161 | $7,000 | thousands by filing date | |
| DESKTOP METAL INC | 25058X113 | *W EXP 03/31/202 | 1,452 | $7,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 643 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 138 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E487 | PURBTA FTSE DV | 256 | $7,000 | thousands by filing date | |
| ANPAC BIO MED SCIENCE CO LTD | 03635R107 | cs | 1,243 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A495 | VOLSHARES LARG | 194 | $7,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 11,916 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J684 | BULLSHS 21 USD | 279 | $7,000 | thousands by filing date | |
| CIIG MERGER CORP | 12559C111 | *W EXP 12/31/202 | 867 | $7,000 | thousands by filing date | |
| LM FDG AMER INC COM NEW | 502074305 | Stock | 10,347 | $7,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G205 | UNIT 99/99/9999 | 614 | $7,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372116 | *W EXP 07/31/202 | 4,234 | $7,000 | thousands by filing date | |
| ROTH CH ACQUISITION I CO | 778675207 | UNIT 01/28/2025 | 394 | $7,000 | thousands by filing date | |
| AGF INVTS TR | 00110G507 | AGFIQ DYNAMIC | 222 | $7,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C433 | US EQTY BUFR FEB | 227 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 59 | $6,000 | thousands by filing date | |
| LARIMAR THERAPEUTICS INC | 517125100 | COM | 299 | $6,000 | thousands by filing date | |
| VERTEX INC | 92538J106 | CL A | 167 | $6,000 | thousands by filing date | |
| AERSALE CORPORATION | 00810F106 | COM | 430 | $6,000 | thousands by filing date | |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 366 | $6,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 2,066 | $6,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 1,329 | $6,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,546 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 203 | $6,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 300 | $6,000 | thousands by filing date | |
| ISHARES ESG AWARE 40/60 MODERATE ALLOCATION ETF | 46436E684 | UIT EXCHANGE TRADED | 198 | $6,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 980 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 200 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 213 | $6,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 179 | $6,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072208 | CMN | 145 | $6,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 73 | $6,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 6,851 | $6,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 2,098 | $6,000 | thousands by filing date | |
| NANOBIOTIX | 63009J107 | SPONSORED ADS | 346 | $6,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,606 | $6,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 686 | $6,000 | thousands by filing date | |
| TOMI ENVIRONMENTAL SOLUTIONS | 890023203 | COM NEW | 1,259 | $6,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 645 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33741Y100 | HORIZON VOL SMCP | 200 | $6,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 4,458 | $6,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC | 16961L106 | COM | 380 | $6,000 | thousands by filing date | |
| ORUKA THERAPEUTICS INC COM | 00211Y506 | Stock | 1,537 | $6,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 4,000 | $6,000 | thousands by filing date | principal |
| OPTHEA LTD | 68386J208 | SPONSORED ADS | 513 | $6,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 5,000 | $6,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 4,000 | $6,000 | thousands by filing date | principal |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 2,006 | $6,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 1,315 | $6,000 | thousands by filing date | |
| APPLIED MOLECULAR TRANS INC | 03824M109 | COM | 180 | $6,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 3,042 | $6,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 6,969 | $6,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 2,786 | $6,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,620 | $6,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 4,497 | $6,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 5,089 | $6,000 | thousands by filing date | |
| HAPPINESS DEVELOPMENT GRP LT | G4289N114 | ORD SHS CL A | 3,527 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $6,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 333 | $6,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351XAB7 | NOTE 2.250% 6/1 | 6,000 | $6,000 | thousands by filing date | principal |
| Mid-Southern Bancorp | 59548Q107 | COM | 430 | $6,000 | thousands by filing date | |
| IQ ULTRA SHORT DURATION ETF | 45409F819 | FUND | 123 | $6,000 | thousands by filing date | |
| MONOPAR THERAPEUTICS INC | 61023L108 | COM | 952 | $6,000 | thousands by filing date | |
| ESSENTIAL UTILS INC | 29670G201 | UNIT 04/30/2022 | 100 | $6,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T409 | COM | 1,611 | $6,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085107 | CL A | 500 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 522 | $6,000 | thousands by filing date | |
| MULTIPLAN CORPORATION | 62548M118 | *W EXP 02/13/202 | 4,025 | $6,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 2,132 | $6,000 | thousands by filing date | |
| ATENTO S A | L0427L204 | CMN | 459 | $6,000 | thousands by filing date | |
| TD HLDGS INC COM NEW | 87250W103 | Stock | 3,543 | $6,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 685 | $6,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 190 | $6,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A103 | COM | 588 | $6,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 2,661 | $6,000 | thousands by filing date | |
| FG FINANCIAL GROUP INC | 30259W104 | COM | 1,382 | $6,000 | thousands by filing date | |
| CBM BANCORP INC | 1248XT104 | COM | 433 | $6,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 3,729 | $6,000 | thousands by filing date | |
| NEXTGEN ACQUISITION CORP | G65305123 | *W EXP 10/06/202 | 3,700 | $6,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 227 | $6,000 | thousands by filing date | |
| LONGVIEW ACQUISITION CORP | 543195200 | UNIT 99/99/9999 | 263 | $6,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865202 | UNIT 02/01/2023 | 437 | $6,000 | thousands by filing date | |
| Goldman Sachs Physical Gold ETF | 38150K103 | SHS | 289 | $5,000 | thousands by filing date | |
| Vanguard ESG U.S. Corporate Bond ETF | 921910691 | SHS | 60 | $5,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 100 | $5,000 | thousands by filing date | put |
| AIM ETF PRODUCTS TRUST | 00888H109 | US LRGCP B10 APR | 208 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D606 | LNG DUR OPRTUN | 175 | $5,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F207 | COM NEW | 1,090 | $5,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 1,197 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P884 | US MID CP MLTFCT | 125 | $5,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 760 | $5,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,029 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E711 | CMN | 200 | $5,000 | thousands by filing date | |
| GLOBAL BLUE GROUP HOLDING AG | H33700115 | *W EXP 08/28/202 | 3,195 | $5,000 | thousands by filing date | |
| FLUX PWR HLDGS INC | 344057302 | COM NEW | 263 | $5,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 305 | $5,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 242 | $5,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 264 | $5,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C243 | INVTOR 2 PLS 5 | 200 | $5,000 | thousands by filing date | |
| INDONESIA ENERGY CORP LTD | G4760X102 | ORD SHS | 607 | $5,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 6,000 | $5,000 | thousands by filing date | |
| MOATABLE INC | 759892300 | COM | 1,103 | $5,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 4,130 | $5,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 2,267 | $5,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 546 | $5,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 819 | $5,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 44,360 | $5,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 2,078 | $5,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 4,504 | $5,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 965 | $5,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 404 | $5,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| ENERGOUS CORP | 29272C103 | COM | 2,753 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P431 | FUND | 96 | $5,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC | 28414H202 | CONV | 100 | $5,000 | thousands by filing date | |
| VITRU LTD | G9440D103 | COM | 337 | $5,000 | thousands by filing date | |
| DRAGONEER GROWTH OPPTY CORP | G28314105 | SHS CL A | 424 | $5,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,285 | $5,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 3,060 | $5,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 1,748 | $5,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| ORAGENICS INC | 684023302 | COM PAR | 11,608 | $5,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 1,779 | $5,000 | thousands by filing date | |
| 1895 BANCORP OF WIS INC COM | 28252W105 | Stock | 502 | $5,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 2,410 | $5,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 7,000 | $5,000 | thousands by filing date | principal |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 394 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 613 | $5,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 1,755 | $5,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 1,801 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E455 | CMN | 111 | $5,000 | thousands by filing date | |
| EMLES TR | 291361707 | CMN | 199 | $5,000 | thousands by filing date | |
| ALARUM TECHNOLOGIES LTD SPONSORD ADS NEW | 78643B401 | ADR | 3,647 | $5,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 5,726 | $5,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 752 | $5,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 734 | $5,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 5,999 | $5,000 | thousands by filing date | |
| PERIDOT ACQUISITION CORP | G7008A107 | *W EXP 11/30/202 | 2,537 | $5,000 | thousands by filing date | |
| LUX HEALTH TECH ACQUISITION | 55068A209 | UNIT 11/30/2027 | 464 | $5,000 | thousands by filing date | |
| SANDBRIDGE ACQUISITION CORP | 799793112 | *W EXP 09/14/202 | 4,010 | $5,000 | thousands by filing date | |
| NORTHERN STAR ACQUISITION CO | 665742201 | UNIT 08/29/2025 | 339 | $5,000 | thousands by filing date | |
| DFP HEALTHCARE ACQUISITNS CO | 23343Q100 | COM CL A | 502 | $5,000 | thousands by filing date | |
| Lixte Biotech HLDG | 539319202 | COM | 1,683 | $5,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 12,390 | $5,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 6,104 | $5,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G117 | *W EXP 03/05/202 | 1,256 | $5,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 658 | $5,000 | thousands by filing date | |
| FANGDD NETWORK GROUP LTD | 30712L109 | SPONSORED ADS | 650 | $5,000 | thousands by filing date | |
| BULL HORN HLDGS CORP | G1686P114 | UNIT 10/13/2025 | 468 | $5,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 944 | $5,000 | thousands by filing date | |
| Porch Group Inc Ordinary Shares - Class A | 733245112 | Stock | 1,538 | $5,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 5,853 | $5,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 2,471 | $5,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 1,265 | $5,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC COM NE | 67424l209 | COM | 3,249 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| Blue Water Acquisition Corp/US | 09607T203 | Unit | 476 | $5,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP III | G04415108 | SHS | 508 | $5,000 | thousands by filing date | |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 100 | $4,000 | thousands by filing date | put |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 403 | $4,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A405 | SEIX SR LN ETF | 142 | $4,000 | thousands by filing date | |
| ARS PHARMACEUTICALS INC | 82835W108 | COM | 93 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P830 | SHRT DUR MNG MUN | 204 | $4,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 4,237 | $4,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 94 | $4,000 | thousands by filing date | |
| AIM ETF PRODUCTS TRUST | 00888H208 | ALLIANZIM US EQT | 155 | $4,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 473 | $4,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 330 | $4,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 600 | $4,000 | thousands by filing date | |
| ALX ONCOLOGY HOLDINGS INC | 00166B105 | COMMON STOCK | 50 | $4,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 2,025 | $4,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 250 | $4,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 234 | $4,000 | thousands by filing date | |
| PACER EMERGING MARKETS CASH COWS 100 ETF | 69374H865 | ETF | 150 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $4,000 | thousands by filing date | principal |
| UNITED BANCORP INC OHIO | 909911109 | COM | 339 | $4,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,223 | $4,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 536 | $4,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 1,382 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P512 | INTEL MACHI ETF | 87 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P850 | MUNICIPAL GRN BD | 154 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 145 | $4,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 749 | $4,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 1,673 | $4,000 | thousands by filing date | |
| LISTED FDS TR | 53656F870 | SHARES FOREIGN | 137 | $4,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 215 | $4,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072760 | MID CAP GRW IMP | 75 | $4,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 71 | $4,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 1,458 | $4,000 | thousands by filing date | |
| ADVANTAGE SOLUTIONS INC. | 00791N102 | COM CL A | 326 | $4,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 195 | $4,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 213 | $4,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 2,597 | $4,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 3,569 | $4,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 6,595 | $4,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 4,751 | $4,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 1,000 | $4,000 | thousands by filing date | principal |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 1,308 | $4,000 | thousands by filing date | |
| VINCO VENTURES INC | 927330100 | COM | 3,047 | $4,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 3,700 | $4,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 2,104 | $4,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,099 | $4,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 329 | $4,000 | thousands by filing date | |
| ARKO CORP | 041242116 | *W EXP 12/22/202 | 2,903 | $4,000 | thousands by filing date | |
| SHIFT TECHNOLOGIES INC | 82452T107 | CL A | 484 | $4,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 3,463 | $4,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 1,029 | $4,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 1,817 | $4,000 | thousands by filing date | |
| PHOENIX TREE HOLDINGS LTD | 719156101 | COM | 1,536 | $4,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 462 | $4,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 5,700 | $4,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W302 | COM NEW CL A | 204 | $4,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 1,368 | $4,000 | thousands by filing date | |
| ISHARES TR | 46436E585 | VIRTUAL WRK LIFE | 132 | $4,000 | thousands by filing date | |
| ANTELOPE ENTERPRISE HLDGS LTD SHS NEW | G041JN106 | Stock | 1,654 | $4,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 1,500 | $4,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 2,798 | $4,000 | thousands by filing date | |
| MOSYS INC | 619718307 | COM | 1,482 | $4,000 | thousands by filing date | |
| INSU ACQUISITION CORP II | 457821106 | COM CL A | 250 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 124 | $4,000 | thousands by filing date | |
| HALL OF FAME RESORT & ENTMT | 40619L102 | COM | 3,000 | $4,000 | thousands by filing date | |
| AKERNA CORP | 00973W110 | WTS | 3,769 | $4,000 | thousands by filing date | |
| EMLES TR | 291361103 | CMN | 161 | $4,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 500 | $4,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 2,422 | $4,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G114 | *W EXP 11/12/202 | 2,440 | $4,000 | thousands by filing date | |
| ROTH CH ACQUISITION I CO | 778675108 | COM | 250 | $4,000 | thousands by filing date | |
| RIBBIT LEAP LTD | G7552B121 | UNIT 99/99/9999 | 291 | $4,000 | thousands by filing date | |
| FARMMI INC SHS NEW | G33277107 | Stock | 3,679 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06747D700 | IPATH SLVR ETN A | 104 | $4,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M109 | SHS | 412 | $4,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 2,762 | $4,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108839 | PURE JR GLD MINE | 145 | $4,000 | thousands by filing date | |
| BLUECITY HLDGS LTD | 09610L106 | ADS | 370 | $4,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646301 | COM NEW | 237 | $4,000 | thousands by filing date | |
| VECTOR ACQUISITION CORP | G9442R126 | COM CL A | 370 | $4,000 | thousands by filing date | |
| GLOBIS ACQUISITION CORP | 379582208 | UNIT 11/01/2025 | 405 | $4,000 | thousands by filing date | |
| YUNHONG INTERNATIONAL | g98882106 | COM | 391 | $4,000 | thousands by filing date | |
| ROMAN DBDR TECH ACQ CORP; TNT ACQ DT: 5/6/2022; CASH: $10.20 | 77584N101 | COM CL A | 361 | $4,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 1,192 | $4,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 1,000 | $4,000 | thousands by filing date | |
| PGIM ETF TR | 69344A503 | QMA STRGC GWTH | 66 | $4,000 | thousands by filing date | |
| SIRIUS INTERNATIONAL INSURAN COM | G8196D101 | Stock | 348 | $4,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 1,178 | $4,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F138 | *W EXP 04/20/202 | 29,623 | $4,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C208 | UNIT 09/01/2026 | 320 | $4,000 | thousands by filing date | |
| NEWBORN ACQUISITION CORP | G6463T122 | RIGHT 02/03/2025 | 3,138 | $4,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q118 | *W EXP 10/23/202 | 440 | $4,000 | thousands by filing date | |
| EYEPOINT INC COM NEW | 30233G209 | Stock | 500 | $3,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 99 | $3,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 30 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 257 | $3,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 617 | $3,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 455 | $3,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 1,000 | $3,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F714 | FT VEST US EQT | 92 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 60 | $3,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 580 | $3,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 216 | $3,000 | thousands by filing date | |
| J JILL INC | 46620W201 | COMMON STOCK | 784 | $3,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 690 | $3,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 238 | $3,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592135 | COM | 470 | $3,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 538 | $3,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 254 | $3,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 122 | $3,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 466 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 84 | $3,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 257 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y616 | CMN | 102 | $3,000 | 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 |