13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-12, with 9,111 holding rows worth $301,326,333,000.
- Accession
- 0000950123-21-005892
- Filer
- CIK 1610520
- Filed
- 2021-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A combination report, 14,864 entries on the cover page, a total value of $301,326,333,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $301,326,396,000 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
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 |
|---|---|---|---|---|---|---|
| DIREXION SHARES ETF TRUST | 25460E869 | DAILY 500 1X ETF | 3,036 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 1,484 | $52,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 9,395 | $52,000 | thousands by filing date | |
| LEFTERIS ACQUISITION CORP | 52470X109 | COM CL A | 5,317 | $52,000 | thousands by filing date | |
| KINS TECHNOLOGY GROUP INC | 49714K109 | COM CL A | 5,290 | $52,000 | thousands by filing date | |
| ADIT EDTECH ACQUISITION CORP | 007024201 | UNIT 99/99/9999 | 5,231 | $52,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 10,166 | $52,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R302 | SPONSORED ADS | 24,372 | $52,000 | thousands by filing date | |
| ATLANTIC AVE ACQUISITION COR | 04906P101 | CMN | 5,362 | $52,000 | thousands by filing date | |
| DPCM CAP INC | 23344P101 | CMN | 5,303 | $52,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W655 | EVOLVED FINLS | 1,766 | $52,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 1,626 | $52,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 10,376 | $52,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 500 | $51,000 | thousands by filing date | put |
| AEMETIS INC | 00770K202 | COM NEW | 2,084 | $51,000 | thousands by filing date | |
| DYNE THERAPEUTICS INC COM | 26818M108 | Stock | 3,278 | $51,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 5,000 | $51,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 4,050 | $51,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F714 | FT VEST US EQT | 1,560 | $51,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 3,167 | $51,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 813 | $51,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 3,006 | $51,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 3,022 | $51,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 1,724 | $51,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 938 | $51,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 2,745 | $51,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 5,494 | $51,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 2,809 | $51,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 1,954 | $51,000 | thousands by filing date | |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 5,144 | $51,000 | thousands by filing date | |
| INHIBRX INC | 45720L107 | COM | 2,522 | $51,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 3,124 | $51,000 | thousands by filing date | |
| Renalytix PLC | 75973T101 | ADS | 2,000 | $51,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 1,426 | $51,000 | thousands by filing date | |
| SUSTAINABLE OPPORTNTS ACQ CO | G8598Y109 | ORD SHS A | 5,099 | $51,000 | thousands by filing date | |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 285 | $51,000 | thousands by filing date | |
| BOA ACQUISITION CORP UNIT EX 022228 | 05601A208 | Stock | 5,098 | $51,000 | thousands by filing date | |
| LMF ACQUISITION OPPORTUNITIES, INC. | 502015209 | COM | 5,037 | $51,000 | thousands by filing date | |
| G&P ACQUISITION CORP | 36146G202 | UNIT 02/28/2028 | 5,141 | $51,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 4,060 | $51,000 | thousands by filing date | |
| STAR PEAK CORP II | 855179107 | COM CL A | 5,092 | $51,000 | thousands by filing date | |
| LEGATO MERGER CORP | 52473X205 | UNIT 12/31/2025 | 5,062 | $51,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C276 | GRWT100 PWR BUF | 1,095 | $50,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 2,231 | $50,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 2,060 | $50,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J585 | BULETSHS 2027 | 1,979 | $50,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 433 | $50,000 | thousands by filing date | |
| PHENIXFIN CORP | 71742W103 | COM | 1,536 | $50,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 8,905 | $50,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,886 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 2,770 | $50,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 64,635 | $50,000 | thousands by filing date | |
| EPIPHANY TECHNOLOGY ACQUISIT | 29429X109 | COM | 5,078 | $50,000 | thousands by filing date | |
| APOLLO STRATEGIC GRWT CPTL I | G0412A110 | UNIT 99/99/9999 | 4,999 | $50,000 | thousands by filing date | |
| FINTECH EVOLUTION ACQUIS GRO | G3R19A112 | UNIT 99/99/9999 | 5,072 | $50,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E438 | RUSL 1000 ENHD | 1,454 | $50,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 27,972 | $50,000 | thousands by filing date | |
| HUMANCO ACQUISITION CORP | 44487N109 | CMN | 5,057 | $50,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 1,005 | $50,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F607 | EQUITYCOMPASS | 2,104 | $50,000 | thousands by filing date | |
| BULL HORN HLDGS CORP | G1686P106 | SHS | 5,163 | $50,000 | thousands by filing date | |
| ZANITE ACQUISITION CORP | 98907K103 | COM CL A | 5,043 | $50,000 | thousands by filing date | |
| ROTH CH ACQUISITION III CO | 77867Q201 | UNIT 02/26/2026 | 5,003 | $50,000 | thousands by filing date | |
| GREENROSE ACQUISITION CORP | 395392103 | COM | 5,023 | $50,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679682 | NT LKD 39 | 614 | $50,000 | thousands by filing date | |
| MEDICUS SCIENCES ACQUISITION | G5960S116 | UNIT 99/99/9999 | 5,043 | $50,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 11,209 | $49,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C599 | US SML CP PWR B | 1,867 | $49,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C300 | US EQT ULTRA BF | 1,620 | $49,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 800 | $49,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 1,938 | $49,000 | thousands by filing date | |
| AIM ETF PRODUCTS TRUST | 00888H703 | ALLIANZIM US EQT | 1,879 | $49,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 2,000 | $49,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 2,493 | $49,000 | thousands by filing date | |
| SIMPLIFY EXCHANGE TRADED FUN | 82889N301 | CMN | 1,702 | $49,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 956 | $49,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 3,410 | $49,000 | thousands by filing date | |
| ALTSHARES TRUST | 02210T108 | MERGER ARBITRAGE | 1,932 | $49,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 1,954 | $49,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 1,410 | $49,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 7,955 | $49,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y335 | MSCI PAKISTAN | 1,633 | $49,000 | thousands by filing date | |
| PROSPECTOR CAPITAL CORP | G7273A105 | COM | 5,026 | $49,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 8,860 | $49,000 | thousands by filing date | |
| SUPERNOVA PARTN ACQ CO III L | G8T90F110 | UNIT 99/99/9999 | 4,892 | $49,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT CO II | 90118T205 | UNIT 99/99/9999 | 5,011 | $49,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 2,022 | $49,000 | thousands by filing date | |
| E MERGE TECHNOLOGY ACQUISITI | 26873Y104 | CMN | 5,029 | $49,000 | thousands by filing date | |
| KRANESHARES TR | 500767819 | EMERGING MKTS | 1,441 | $49,000 | thousands by filing date | |
| FINTECH ACQ IV-A | 31810N104 | COMMON STOCK | 4,365 | $49,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 2,209 | $48,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q305 | COM STOCK | 2,011 | $48,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q647 | MUNICIPAL ETF | 885 | $48,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 8,109 | $48,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,208 | $48,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 2,244 | $48,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G781 | DAI GOL BUL ETF | 887 | $48,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E872 | CMN | 1,462 | $48,000 | thousands by filing date | |
| DUCKHORN PORTFOLIO INC | 26414D106 | COM | 2,890 | $48,000 | thousands by filing date | |
| TERMINIX GLOBAL HOLDINGS INC COM | 88087E100 | Stock | 1,000 | $48,000 | thousands by filing date | put |
| HENNESSY CAPITAL INVS CORP V | 42589T107 | COM | 4,844 | $48,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P472 | FUND | 842 | $48,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 1,101 | $48,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L105 | SHS CL A | 4,470 | $48,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 971 | $48,000 | thousands by filing date | |
| CONSTELLATION ACQUISITN CORP | G2R18K121 | UNIT 99/99/9999 | 4,846 | $48,000 | thousands by filing date | |
| GOLDEN FALCON ACQUISITION CO | 38102H109 | CL A | 4,928 | $48,000 | thousands by filing date | |
| GOLDENBRIDGE ACQUISITION LTD | G3970D112 | UNIT 03/02/2026 | 4,801 | $48,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 14,332 | $48,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 22,054 | $48,000 | thousands by filing date | |
| CM LIFE SCIENCES II INC | 125842203 | UNIT 02/25/2028 | 3,735 | $48,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 1,738 | $48,000 | thousands by filing date | |
| AVANTI ACQUISITION CORP | G0682V109 | CMN | 4,918 | $48,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 6,140 | $48,000 | thousands by filing date | |
| PACER FDS TR | 69374H618 | SALT HIG TRUBT | 1,196 | $48,000 | thousands by filing date | |
| THERAPEUTICS ACQUISITION COR | 88339T103 | COM CL A | 4,525 | $48,000 | thousands by filing date | |
| MINISO GROUP HLDG LTD SPONSORED ADS | 66981J102 | ADR | 1,953 | $47,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C508 | US EQTY PWR BUF | 1,491 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 1,809 | $47,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 900 | $47,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 4,108 | $47,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,836 | $47,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F730 | FT VEST US EQT | 1,415 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 1,219 | $47,000 | thousands by filing date | |
| BGSF INC | 05601C105 | COM | 3,346 | $47,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 1,519 | $47,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W500 | INNOV LEADE ETF | 1,797 | $47,000 | thousands by filing date | |
| MICROSECTORS GOLD MINERS 3X LEVERAGED ETN | 063679658 | ETF | 3,013 | $47,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 6,480 | $47,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 2,083 | $47,000 | thousands by filing date | |
| LISTED FD TR | 53656F664 | TRUESHARES STRCT | 1,551 | $47,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505640 | RANGE INDIA FINA | 1,448 | $47,000 | thousands by filing date | |
| ROSECLIFF ACQUISITION CORP I | 77732R202 | UNIT 99/99/9999 | 4,698 | $47,000 | thousands by filing date | |
| PACER FDS TR | 69374H626 | CSOP FTSE CHINA | 2,095 | $47,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 50,000 | $47,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 979 | $47,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 36,976 | $47,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP II | 92244F208 | UNIT 99/99/9999 | 4,617 | $47,000 | thousands by filing date | |
| IMGP DBI MANAGED FUTURES STRATEGY ETF | 56170L828 | ETF | 1,697 | $47,000 | thousands by filing date | |
| DBX ETF TR | 233051564 | XTRCK EURZON EQT | 1,844 | $47,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,664 | $46,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 2,039 | $46,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,717 | $46,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 2,520 | $46,000 | thousands by filing date | |
| TIDAL TRUST I | 886364850 | LEATHERBACK LNG | 2,026 | $46,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 4,179 | $46,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 1,633 | $46,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 6,657 | $46,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 5,668 | $46,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 25,104 | $46,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 44,000 | $46,000 | thousands by filing date | principal |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 2,565 | $46,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 2,866 | $46,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416607 | HARTFORD MLT DIV | 1,653 | $46,000 | thousands by filing date | |
| IG ACQUISITION CORP | 449534106 | COM CL A | 4,685 | $46,000 | thousands by filing date | |
| AGRIFY CORP | 00853E107 | COM | 3,745 | $46,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W622 | INOVATIV HLTCR | 1,418 | $46,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402q100 | COM | 4,614 | $46,000 | thousands by filing date | |
| STAR PEAK CORP II | 855179206 | UNIT 99/99/9999 | 4,361 | $46,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 300 | $45,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V498 | S&P SMLCP MOMENT | 862 | $45,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33740J203 | EQUITY MARKET NE | 2,287 | $45,000 | thousands by filing date | |
| PERIDOT ACQUISITION CORP | G7008A115 | SHS CL A | 4,222 | $45,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P613 | FUND | 1,548 | $45,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,301 | $45,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 1,206 | $45,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 18,777 | $45,000 | thousands by filing date | |
| LIVE OAK ACQUISITION CORP II | 53804W106 | COM CL A | 4,468 | $45,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 1,021 | $45,000 | thousands by filing date | |
| FIRSTMARK HORIZON ACQUISITIO | 33765Y101 | CL A COM | 4,485 | $45,000 | thousands by filing date | |
| VECTOR ACQUISITION CORP | G9442R126 | COM CL A | 3,815 | $45,000 | thousands by filing date | |
| PETRA ACQUISITION INC | 716421102 | COM | 4,506 | $45,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 16,206 | $45,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 491 | $44,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 300 | $44,000 | thousands by filing date | put |
| DREAM FINDERS HOMES INC COM CL A | 26154D100 | Stock | 1,820 | $44,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 1,811 | $44,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 1,200 | $44,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C722 | INTRNL DEV JULY | 1,824 | $44,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,214 | $44,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 2,237 | $44,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,665 | $44,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 1,488 | $44,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 1,164 | $44,000 | thousands by filing date | |
| SPRING VALEY ACQUISTION III CL A ORD | 85521J109 | COM | 4,444 | $44,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 7,154 | $44,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 26,753 | $44,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 8,346 | $44,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 2,391 | $44,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 7,292 | $44,000 | thousands by filing date | |
| GLOBAL PARTNER ACQISTN CORP | G3934P110 | UNIT 01/06/2026 | 4,455 | $44,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 33,413 | $44,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 1,796 | $44,000 | thousands by filing date | |
| OMNICHANNEL ACQUISITION CORP | 68218L108 | COM CL A | 4,458 | $44,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 300 | $43,000 | thousands by filing date | put |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 2,408 | $43,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 1,093 | $43,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,829 | $43,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 695 | $43,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,680 | $43,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 5,768 | $43,000 | thousands by filing date | |
| LEE ENTERPRISES INC | 523768406 | COM | 1,686 | $43,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 948 | $43,000 | thousands by filing date | |
| REPARE THERAPEUTICS INC | 760273102 | COM | 1,414 | $43,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 1,160 | $43,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P449 | FUND | 926 | $43,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 742 | $43,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 8,627 | $43,000 | thousands by filing date | |
| CC NEUBERGER PRIN HLDGS II | G3166T103 | SHS CL A | 4,319 | $43,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 24,120 | $43,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 18,000 | $43,000 | thousands by filing date | principal |
| CLEVER LEAVES HOLDINGS INC | 186760104 | COM | 4,167 | $43,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 905 | $43,000 | thousands by filing date | |
| RECHARGE ACQUISITION CORP | 756229100 | CMN | 4,430 | $43,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 1,226 | $43,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 500 | $42,000 | thousands by filing date | call |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 2,897 | $42,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 4,381 | $42,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 2,350 | $42,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 2,317 | $42,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 2,117 | $42,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 1,354 | $42,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y782 | EMGRING MKTS | 1,618 | $42,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q449 | BETA US GRAD ETF | 767 | $42,000 | thousands by filing date | |
| PACER FDS TR | 69374H659 | CASH COWS ETF | 1,280 | $42,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 2,892 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 500 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 700 | $42,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 669 | $42,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 19,086 | $42,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 35,520 | $42,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 3,797 | $42,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 1,078 | $42,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 1,315 | $42,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J692 | STRG EMERG ETF | 1,473 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 3,034 | $42,000 | thousands by filing date | |
| AEA-BRIDGES IMPACT CORP | G01046104 | CMN | 4,238 | $42,000 | thousands by filing date | |
| AGF INVTS TR | 00110G887 | AGFIQ HEDGED DIV | 1,759 | $42,000 | thousands by filing date | |
| NEXTGEN ACQUISITION CORP | G65305107 | CL A | 4,189 | $42,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 19,893 | $41,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740U307 | FT VEST US EQT | 1,232 | $41,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 8,269 | $41,000 | thousands by filing date | |
| Counterpoint High Yield Trend ETF | 66538R722 | ETF | 1,716 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 1,480 | $41,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P546 | SYSTMTC STYL PRE | 2,065 | $41,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 528 | $41,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,360 | $41,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 40,595 | $41,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 8,039 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 2,102 | $41,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V603 | COM CL A NEW | 2,305 | $41,000 | thousands by filing date | |
| QUANTUM FINTECH ACQUISTIN CO | 74767A204 | UNIT 10/30/2026 | 4,126 | $41,000 | thousands by filing date | |
| BETTER WORLD ACQUISITION COR | 08772B104 | COM | 4,157 | $41,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 9,633 | $41,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 3,418 | $41,000 | thousands by filing date | |
| TALIS BIOMEDICAL CORP | 87424L108 | CMN | 3,211 | $41,000 | thousands by filing date | |
| DANIMER SCIENTIFIC INC | 236272118 | *W EXP 05/08/202 | 1,596 | $41,000 | thousands by filing date | |
| INDUSTRIAL TECH ACQ CORP; TNT ACQ DT: 12/9/2021; CASH: $10.10 | 456357102 | COM CL A | 4,068 | $41,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 4,500 | $40,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,332 | $40,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138J650 | BULLETSHS 2027 | 1,537 | $40,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N543 | VICTORYSHS EMERG | 823 | $40,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 2,132 | $40,000 | thousands by filing date | |
| US VEGAN CLIMATE ETF | 26922A297 | ETF | 1,112 | $40,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y821 | CMN | 1,561 | $40,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 884 | $40,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 2,366 | $40,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 640 | $40,000 | thousands by filing date | |
| ENETI INC | Y2294C107 | COM | 1,922 | $40,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 2,012 | $40,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 1,237 | $40,000 | thousands by filing date | |
| ONECONNECT FINL TECHNOLOGY C | 68248T105 | ADR | 2,710 | $40,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 22,112 | $40,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 8,646 | $40,000 | thousands by filing date | |
| ACON S2 ACQUISITION CORP | G00748106 | CL SHS | 4,089 | $40,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 13,533 | $40,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y537 | DORSY MICR ETF | 1,159 | $40,000 | thousands by filing date | |
| FISKER INC | 33813J114 | *W EXP 12/01/202 | 4,672 | $40,000 | thousands by filing date | |
| ALTIMAR ACQUISITION CORP | G03707125 | UNIT 99/99/9999 | 3,934 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74348A111 | ULTRASHORT INDL | 4,822 | $40,000 | thousands by filing date | |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 1,189 | $39,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 200 | $39,000 | thousands by filing date | put |
| ONITY GROUP INC | 675746606 | COMMON STOCK | 1,358 | $39,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,441 | $39,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 3,309 | $39,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 2,038 | $39,000 | thousands by filing date | |
| LANTERN PHARMA INC | 51654W101 | COM | 2,166 | $39,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 17,104 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 1,198 | $39,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 19,668 | $39,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E772 | QRAFT AI-ENHNCD | 1,312 | $39,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 17,204 | $39,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 1,269 | $39,000 | thousands by filing date | |
| EUCRATES BIOMEDICAL ACQU COR | G3141W106 | CMN | 3,954 | $39,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D108 | SHS | 3,906 | $39,000 | thousands by filing date | |
| MISSION ADVANCEMENT CORP | 60501L200 | UNIT 99/99/9999 | 3,952 | $39,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,623 | $39,000 | thousands by filing date | |
| QUHUO LTD | 74841Q100 | ADS | 6,255 | $39,000 | thousands by filing date | |
| REINVENT TECHNOLOGY PARTNERS | G74847123 | UNIT 99/99/9999 | 3,772 | $39,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 1,419 | $38,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,424 | $38,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 6,180 | $38,000 | thousands by filing date | |
| PACER EMERGING MARKETS CASH COWS 100 ETF | 69374H865 | ETF | 1,486 | $38,000 | thousands by filing date | |
| GREENLAND TECHNOLOGIES HLDG | G4095T107 | ORD SHS CL A | 3,061 | $38,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 1,391 | $38,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 6,902 | $38,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 4,349 | $38,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 3,512 | $38,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 24,465 | $38,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 5,472 | $38,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,028 | $38,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 32,048 | $38,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 2,197 | $38,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,468 | $38,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 998 | $38,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 2,940 | $38,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 1,203 | $38,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 2,310 | $38,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 1,164 | $38,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 2,846 | $37,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 8,306 | $37,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 6,407 | $37,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C649 | US EQTY ULTRA B | 1,337 | $37,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 2,102 | $37,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 1,234 | $37,000 | thousands by filing date | |
| ISHARES TR | 46436E502 | US TECH BRKTHR | 1,058 | $37,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 898 | $37,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 820 | $37,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 1,393 | $37,000 | thousands by filing date | |
| Yalla Group Ltd | 98459U103 | COM | 1,450 | $37,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 240 | $37,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 10,335 | $37,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 3,075 | $37,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 4,747 | $37,000 | thousands by filing date | |
| THE9 LTD | 88337K302 | ADR | 1,182 | $37,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 4,663 | $37,000 | thousands by filing date | |
| LUCIRA HEALTH INC | 54948U105 | COM | 3,075 | $37,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W671 | CONSUMER STPLS | 1,160 | $37,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 11,055 | $37,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 7,720 | $37,000 | thousands by filing date | |
| DRAGONEER GROWTH OPT CORP II | G28315102 | CL A SHS | 3,660 | $37,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 11,933 | $37,000 | thousands by filing date | |
| H I G ACQUISITION CORP | G44898107 | CMN | 3,735 | $37,000 | thousands by filing date | |
| TAOPING INC | G8675V119 | SHS NEW | 3,936 | $37,000 | thousands by filing date | |
| REVOLUTION ACCELERTN ACQU CO | 76156P106 | COM CL A | 3,651 | $37,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 13,519 | $36,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 9,317 | $36,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 20,413 | $36,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 1,000 | $36,000 | thousands by filing date | put |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 5,637 | $36,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E711 | CMN | 1,249 | $36,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 20,795 | $36,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R738 | CMN | 1,294 | $36,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 11,161 | $36,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 8,978 | $36,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,988 | $36,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 9,581 | $36,000 | thousands by filing date | |
| SIREN ETF TR | 829658400 | DIVCN DIVD ETF | 991 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 2,519 | $36,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 5,016 | $36,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 30,607 | $36,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 8,220 | $36,000 | thousands by filing date | |
| M3 BRIGADE ACQUISITION II CO | 553800202 | UNIT 99/99/9999 | 3,610 | $36,000 | thousands by filing date | |
| GENETRON HLDGS LTD | 37186H100 | ADS | 1,670 | $36,000 | thousands by filing date | |
| Spire Global Inc Com Cl A New | 639358100 | COM | 3,550 | $36,000 | thousands by filing date | |
| NEXIMMUNE INC | 65344D109 | COM | 1,883 | $36,000 | thousands by filing date | |
| HENNESSY CAPITAL INVS CORP V | 42589T206 | UNIT 01/15/2025 | 3,580 | $36,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 2,956 | $36,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A651 | NATIONWIDE MAX | 936 | $36,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 1,513 | $36,000 | thousands by filing date | |
| BESPOKE CAP ACQUISITION CORP | 086344108 | CL A REST VTG | 3,596 | $36,000 | thousands by filing date | |
| PLIANT THERAPEUTICS INC | 729139105 | COM | 896 | $35,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 660 | $35,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 4,421 | $35,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,709 | $35,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 711 | $35,000 | thousands by filing date | |
| FRANKLIN FTSE CHINA ETF | 35473P819 | ETF | 1,090 | $35,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2029 MUNICIPAL BOND ETF | 46138J478 | ETF | 1,345 | $35,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 14,675 | $35,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 3,573 | $35,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505665 | ETC 6 HEDGED EQU | 1,233 | $35,000 | thousands by filing date | |
| ISHARES TR | 46436E692 | ESG AWARE 30/70 | 1,292 | $35,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 810 | $35,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 4,945 | $35,000 | thousands by filing date | |
| ONCORUS INC | 68236R103 | COM | 2,509 | $35,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 18,224 | $35,000 | thousands by filing date | |
| LISTED FD TR | 53656F672 | TRUESHARES DEC | 1,300 | $35,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 16,523 | $35,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 1,340 | $35,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP 2 | G0371B109 | CMN | 3,404 | $35,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 1,096 | $35,000 | thousands by filing date | |
| CAPITOL INVESTMENT CORP V | 14064F209 | UNIT 99/99/9999 | 3,340 | $35,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 8,106 | $35,000 | thousands by filing date | |
| FALCON CAPITAL ACQUISITN COR | 30606L108 | COM CL A | 3,483 | $35,000 | thousands by filing date | |
| HORIZON ACQUISITION CORP | G46049105 | COM CL A | 3,581 | $35,000 | thousands by filing date | |
| SPARTAN ACQUISITION CORP II | 846775104 | COM | 3,382 | $35,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679831 | INVERSE ETN | 2,238 | $35,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 3,007 | $34,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 697 | $34,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 1,772 | $34,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 386 | $34,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 2,747 | $34,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 3,990 | $34,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 4,968 | $34,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 12,127 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 1,967 | $34,000 | thousands by filing date | |
| SIGILON THERAPEUTICS INC | 82657L107 | COM | 1,536 | $34,000 | thousands by filing date | |
| DIVERSEY HLDGS LTD | G28923103 | COM | 2,305 | $34,000 | thousands by filing date | |
| CORNER GROWTH ACQUISITION CO | G2425N105 | COM | 3,478 | $34,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 8,352 | $34,000 | thousands by filing date | |
| DECIBEL THERAPEUTICS INC | 24343R106 | COM | 3,015 | $34,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 29,411 | $34,000 | thousands by filing date | |
| BOQI INTL MED INC | 099501108 | COM | 19,288 | $34,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 5,642 | $34,000 | thousands by filing date | |
| VICKERS VANTAGE CORP I | G9440B123 | UNIT 09/15/2027 | 3,390 | $34,000 | thousands by filing date | |
| CONSONANCE HFW ACQUISITION C | G2445M103 | SHS CL A | 3,512 | $34,000 | thousands by filing date | |
| STARBOARD VALUE ACQUISITN CORP UNIT EXP 091025 | 85521J208 | Stock | 3,313 | $34,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 1,048 | $33,000 | thousands by filing date | |
| TRANE TECHNOLOGIES PLC SHS | G8994E103 | Stock | 200 | $33,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 52,237 | $33,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 6,526 | $33,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 1,275 | $33,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 2,714 | $33,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 4,492 | $33,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C557 | US EQTY BUF DEC | 1,036 | $33,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,955 | $33,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 882 | $33,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E715 | ETC CABANA TARGT | 1,319 | $33,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G823 | DAIL ROBO AR ETF | 833 | $33,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 2,525 | $33,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 2,953 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 3,042 | $33,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A149 | DFIANC NQ JR BT | 986 | $33,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,091 | $33,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,392 | $33,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 4,806 | $33,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 3,196 | $33,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 1,327 | $33,000 | thousands by filing date | |
| CARTESIAN GROWTH CORP | G19276123 | UNIT 02/26/2028 | 3,322 | $33,000 | thousands by filing date | |
| COMPUTE HEALTH ACQUISITIN CO | 204833107 | COM CL A | 3,351 | $33,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 2,242 | $33,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602605 | COM NEW | 2,226 | $33,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 2,071 | $33,000 | thousands by filing date | |
| LIBERTY MEDIA ACQUISITION CO | 53073L203 | UNIT 01/22/2026 | 3,061 | $33,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T109 | COM CL A | 3,266 | $33,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 3,315 | $33,000 | thousands by filing date | |
| MOUNTAIN CREST ACQUSTN CORP | 62402D204 | Cmn | 3,263 | $33,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 6,798 | $32,000 | thousands by filing date | |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 640 | $32,000 | thousands by filing date | |
| PHARMING GROUP NV SPON ADS | 71716E105 | ADR | 2,508 | $32,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 13,976 | $32,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,730 | $32,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 931 | $32,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N568 | USAA MSCI USA SM | 464 | $32,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C581 | US EQTY BUF NOV | 1,049 | $32,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF MARCH | 45782C375 | ETF | 1,134 | $32,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,783 | $32,000 | thousands by filing date | |
| NOVABRIDGE BIOSCIENCES | 44975P103 | CMN | 660 | $32,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33741Y100 | HORIZON VOL SMCP | 1,012 | $32,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 10,696 | $32,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 2,018 | $32,000 | thousands by filing date | |
| SUNRISE NEW ENERGY CO LTD | G3932F106 | ORD CL A SHS | 8,726 | $32,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 3,452 | $32,000 | thousands by filing date | |
| TRITERRAS INC | G9103H102 | COM CL A | 4,380 | $32,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 2,754 | $32,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 2,352 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y228 | CLEANTECH ETF | 1,453 | $32,000 | thousands by filing date | |
| FREEDOM ACQUISITION I CORP | G3663X102 | UNIT 99/99/9999 | 3,214 | $32,000 | thousands by filing date | |
| ENTREPRENEURSHARES SERIES TR | 293828802 | ERSHARES ENT | 1,316 | $32,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 4,529 | $32,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W630 | MEDIA ENTRNMNT | 884 | $32,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S116 | CL A SHS | 3,050 | $32,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP II | G89554128 | W EXP 06/14/202 | 9,683 | $32,000 | thousands by filing date | |
| VIDLER WATER RESOUCES INC | 92660E107 | COM | 3,652 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y244 | EMKT INTRNT ECOM | 2,018 | $32,000 | thousands by filing date | |
| ASPIRATIONAL CONSUMER LIFEST | G05436129 | UNIT 99/99/9999 | 3,070 | $32,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISITION I | 349642207 | UNIT 08/10/2027 | 3,080 | $32,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 448 | $31,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,982 | $31,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 5,447 | $31,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C862 | INNOVATOR DEEPW | 572 | $31,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 9,290 | $31,000 | thousands by filing date | |
| INNOVATOR U.S. SMALL CAP POWER BUFFER ETF - JULY | 45782C284 | ETF | 1,160 | $31,000 | thousands by filing date | |
| PACER US CASH COWS GROWTH ETF | 69374H667 | ETF | 858 | $31,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE MOMENTUM ET | 02072L300 | ETF | 910 | $31,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 3,413 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y319 | CMN | 1,166 | $31,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 5,633 | $31,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 666 | $31,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 2,285 | $31,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 6,638 | $31,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 2,965 | $31,000 | thousands by filing date | |
| SENSEI BIOTHERAPEUTICS INC | 81728A108 | COM | 2,099 | $31,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 21,079 | $31,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 2,772 | $31,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 31,000 | $31,000 | thousands by filing date | |
| TIDAL ETF TR | 886364207 | SOFI SELCT 500 | 2,150 | $31,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502846 | UNIT 11/15/2022 | 263 | $31,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K116 | *W EXP 04/16/202 | 2,862 | $31,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 20,500 | $31,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-21-005892 | this filing | 2021-05-12 | acceptance time not in the bulk data set |