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 |
|---|---|---|---|---|---|---|
| BETTER WORLD ACQUISITION COR | 08772B203 | UNIT 11/15/2027 | 2,905 | $31,000 | thousands by filing date | |
| APPLIED UV INC | 03828V105 | COM | 3,077 | $31,000 | thousands by filing date | |
| E MERGE TECHNOLOGY ACQUISITION UNIT EX 073025 | 26873Y203 | Stock | 3,089 | $31,000 | thousands by filing date | |
| CERBERUS TELECOM ACQUISITION | G2040C112 | Cmn | 3,079 | $31,000 | thousands by filing date | |
| BCTG ACQUISITION CORP | 05492W103 | COM | 2,799 | $31,000 | thousands by filing date | |
| DOCEBO INC COM | 25609L105 | Stock | 698 | $30,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 100 | $30,000 | thousands by filing date | put |
| KOREA FD INC | 500634209 | COM NEW | 701 | $30,000 | thousands by filing date | |
| CRICUT INC | 22658D100 | COM CL A | 1,523 | $30,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,636 | $30,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 2,839 | $30,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 3,157 | $30,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 16,133 | $30,000 | thousands by filing date | |
| INVESCO INVESTMENT GRADE DEFENSIVE ETF | 46139W502 | ETF | 1,130 | $30,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 3,530 | $30,000 | thousands by filing date | |
| TOMI ENVIRONMENTAL SOLUTIONS | 890023203 | COM NEW | 7,418 | $30,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 8,933 | $30,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 1,645 | $30,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 5,009 | $30,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 3,165 | $30,000 | thousands by filing date | |
| AESTHETIC MED INTL HLDG GR L | 00809M104 | ADR | 4,090 | $30,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P456 | FUND | 706 | $30,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 1,060 | $30,000 | thousands by filing date | |
| SVF INVESTMENT CORP | G8601M100 | 2 CL A SHS | 2,982 | $30,000 | thousands by filing date | |
| RMG ACQUISITION CORP III | G76088114 | UNIT 02/08/2026 | 2,977 | $30,000 | thousands by filing date | |
| ALTITUDE ACQUISITION CORP | 02156Y103 | COM CL A | 2,944 | $30,000 | thousands by filing date | |
| CM LIFE SCIENCES INC | 18978W109 | COM CL A | 2,004 | $30,000 | thousands by filing date | |
| DIREXION DAILY REAL ESTATE BEAR 3X SHARES | 25460E141 | ETF | 3,911 | $30,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 888 | $30,000 | thousands by filing date | |
| WISEKEY INTERNATIONAL HLDS L | 97727L200 | SPON ADS | 2,083 | $30,000 | thousands by filing date | |
| FORUM MERGER III CORP | 349885103 | COM CL A | 3,066 | $30,000 | thousands by filing date | |
| LEO HOLDINGS III CORP | g5463t116 | COM | 3,040 | $30,000 | thousands by filing date | |
| ONE UNIT | G7000X113 | Stock | 2,411 | $30,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 7,138 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 935 | $29,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,553 | $29,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 3,000 | $29,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 3,040 | $29,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 969 | $29,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 8,315 | $29,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 6,017 | $29,000 | thousands by filing date | |
| CARLOTZ INC | 142552108 | COMMON STOCK | 3,994 | $29,000 | thousands by filing date | |
| WILLIAM PENN BANCORPORATION | 96927A105 | COM | 2,591 | $29,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 4,990 | $29,000 | thousands by filing date | |
| ANGION BIOMEDICA CORP | 03476J107 | COM | 1,630 | $29,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 9,971 | $29,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 4,837 | $29,000 | thousands by filing date | |
| MSP RECOVERY INC COM CL A | 53625R104 | Stock | 3,022 | $29,000 | thousands by filing date | |
| PIONEER MERGER CORP | G7S24C129 | UNIT 99/99/9999 | 2,929 | $29,000 | thousands by filing date | |
| KADEM SUSTAINABLE IMPACT COR | 48284E204 | UNIT 03/17/2026 | 2,919 | $29,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 1,136 | $29,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 11,907 | $29,000 | thousands by filing date | |
| SCP & CO HEALTHCARE ACQUSTN | 784065203 | UNT | 2,910 | $29,000 | thousands by filing date | |
| SANDBRIDGE ACQUISITION CORP | 799793104 | COM CL A | 2,937 | $29,000 | thousands by filing date | |
| TREPONT ACQUISITION CORP I | G9095M101 | SHS CL A | 2,909 | $29,000 | thousands by filing date | |
| OTR ACQUISITION CORP | 67113Q204 | UNIT 10/01/2025 | 2,812 | $29,000 | thousands by filing date | |
| TIDAL ETF TR | 886364751 | EUCLID CAP GRWT | 1,060 | $29,000 | thousands by filing date | |
| DECARBONIZATION PLUS ACQUISITI | 24279d204 | COM | 2,907 | $29,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G103 | COM | 2,858 | $29,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 947 | $28,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 547 | $28,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,813 | $28,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 4,187 | $28,000 | thousands by filing date | |
| FOGHORN THERAPEUTICS INC | 344174107 | COMMON STOCK | 2,136 | $28,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,016 | $28,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 2,414 | $28,000 | thousands by filing date | |
| STRATEGY SHS | 86280R886 | NEWFOUND RESLV | 1,061 | $28,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,186 | $28,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 20,534 | $28,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 8,970 | $28,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 8,150 | $28,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 13,988 | $28,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 4,031 | $28,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 6,667 | $28,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,691 | $28,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 2,182 | $28,000 | thousands by filing date | |
| FOXWAYNE ENTERPRIS AQSTN COR | 35166L109 | COM CL A | 2,792 | $28,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 9,180 | $28,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 3,841 | $28,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 13,376 | $28,000 | thousands by filing date | |
| CM LIFE SCIENCES INC | 18978W208 | UNIT 09/01/2025 | 1,676 | $28,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 630 | $28,000 | thousands by filing date | |
| MICROSECTORS U.S. BIG OIL INDEX -3X INVERSE LEVERAGED ETN | 063679633 | ETF | 1,447 | $28,000 | thousands by filing date | |
| ECOFIN DIGITAL PAYMENTS INFRASTRUCTURE FUND | 56167N548 | ETF | 636 | $28,000 | thousands by filing date | |
| ITHAX ACQUISITION CORP UNIT EX 123127 | G49775110 | Stock | 2,809 | $28,000 | thousands by filing date | |
| BROADSTONE ACQ CORP; TNT ACQ DT: 9/11/2022; CASH: $10.00 | G1739V100 | SHS CL A | 2,870 | $28,000 | thousands by filing date | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 2,923 | $28,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 712 | $27,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 4,845 | $27,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F599 | FT VEST US EQT | 913 | $27,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 3,027 | $27,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 1,907 | $27,000 | thousands by filing date | |
| MOTLEY FOOL SMALL-CAP GROWTH ETF | 74933W874 | ETF | 716 | $27,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 BUFFER SEPTEMBER | 45782C664 | ETF | 883 | $27,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,617 | $27,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H278 | MAIN THEMATC IN | 1,162 | $27,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 9,147 | $27,000 | thousands by filing date | |
| GT BIOPHARMA INC | 36254L209 | COM NEW | 3,918 | $27,000 | thousands by filing date | |
| IKENA ONCOLOGY INC | 45175G108 | COM | 970 | $27,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 1,124 | $27,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 40,751 | $27,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 2,267 | $27,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 1,052 | $27,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 2,601 | $27,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B208 | COM NEW | 3,654 | $27,000 | thousands by filing date | |
| SYNTAX ETF TR | 87166N304 | STRATIFIED SMCP | 526 | $27,000 | thousands by filing date | |
| EUCRATES BIOMEDICAL ACQU COR | G3141W114 | UNIT 10/23/2027 | 2,678 | $27,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 3,287 | $27,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 22,853 | $27,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 6,041 | $27,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 25,775 | $27,000 | thousands by filing date | |
| LISTED FD TR | 53656F813 | TRUESHS ESG ACTV | 744 | $27,000 | thousands by filing date | |
| POPULATION HEALTH INVS CO IN | G71716123 | UNIT 99/99/9999 | 2,726 | $27,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D124 | UNIT 12/31/2026 | 2,637 | $27,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P404 | mc | 527 | $27,000 | thousands by filing date | |
| OTR ACQUISITION CORP | 67113Q105 | COM CL A | 2,677 | $27,000 | thousands by filing date | |
| RODGERS SILICON VALLEY AQ CO | 774873103 | COM | 2,005 | $27,000 | thousands by filing date | |
| REINVENT TECHNOLOGY PARTNERS | G7483N111 | UNIT 99/99/9999 | 2,478 | $27,000 | thousands by filing date | |
| ACIES ACQUISITION CORP | G0103T105 | CL A | 2,697 | $27,000 | thousands by filing date | |
| SENECA BIOPHARMA INC | 81689B103 | COM | 16,169 | $27,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 400 | $26,000 | thousands by filing date | put |
| QUANTA SVCS INC | 74762E102 | COM | 300 | $26,000 | thousands by filing date | put |
| INTREPID POTASH INC | 46121Y201 | COM | 808 | $26,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 1,735 | $26,000 | thousands by filing date | |
| ELUTIA INC | 05479K106 | CL A COM | 1,857 | $26,000 | thousands by filing date | |
| THRYV HLDGS INC | 886029206 | COM NEW | 1,097 | $26,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 2,275 | $26,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 896 | $26,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 4,739 | $26,000 | thousands by filing date | |
| GOLDMINING INC | 38149E101 | COM | 15,914 | $26,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,787 | $26,000 | thousands by filing date | |
| RHINEBECK BANCORP INC | 762093102 | COMMON STOCK | 2,500 | $26,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 625 | $26,000 | thousands by filing date | |
| ISHARES TR | 46436E676 | ESG AWARE 60/40 | 871 | $26,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 2,236 | $26,000 | thousands by filing date | |
| ZEPP HEALTH CORPORATION SPONSORED ADR | 98945L105 | ADR | 2,440 | $26,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 38,421 | $26,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 37,134 | $26,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 583 | $26,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,428 | $26,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 2,478 | $26,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 2,914 | $26,000 | thousands by filing date | |
| ADDEX THERAPEUTICS LTD | 00654J107 | SPONSORED ADS | 2,520 | $26,000 | thousands by filing date | |
| ARTELO BIOSCIENCES INC | 04301G201 | COM NEW | 15,675 | $26,000 | thousands by filing date | |
| VIVEON HEALTH ACQUISITION CO | 92853V106 | COM | 2,613 | $26,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 25,000 | $26,000 | thousands by filing date | |
| WTS/NOVUS CAPITAL CORP11.5000EXP06/30/2027 | 03783T111 | WARR | 3,816 | $26,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 768 | $26,000 | thousands by filing date | |
| NOVUS CAPITAL CORPORATION II | 67012W203 | UNIT 99/99/9999 | 2,575 | $26,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K209 | UNIT 99/99/9999 | 345 | $26,000 | thousands by filing date | |
| DMY TECHNOLOGY GROUP INC IV | 23344K201 | UNIT 99/99/9999 | 2,614 | $26,000 | thousands by filing date | |
| POWER & DIGITAL INFRA ACQ CO | 739190205 | UNIT 99/99/9999 | 2,599 | $26,000 | thousands by filing date | |
| EQ HEALTH ACQUISITION CORP UNIT EXP 020228 | 26886A200 | Stock | 2,598 | $26,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439201 | UNIT 99/99/9999 | 1,022 | $26,000 | thousands by filing date | |
| BENESSERE CAPITAL ACQUSTN CO | 08179B202 | UNIT 12/22/2025 | 2,455 | $26,000 | thousands by filing date | |
| APEXIGEN INC | 11374E104 | COM | 2,683 | $26,000 | thousands by filing date | |
| HEALTHCARE CAPITAL CORP | 42228c200 | COM | 2,624 | $26,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T282 | XLNKS REIT ETN36 | 3,762 | $26,000 | thousands by filing date | |
| NORTHERN GENESIS ACQUISITION | 66516U101 | COMMON STOCK | 2,576 | $26,000 | thousands by filing date | |
| ASCENDANT DIGITAL ACQUISITIO | G05155125 | UNIT 99/99/9999 | 2,519 | $26,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 300 | $25,000 | thousands by filing date | put |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 1,000 | $25,000 | thousands by filing date | put |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 9,334 | $25,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 4,008 | $25,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 738 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D606 | LNG DUR OPRTUN | 928 | $25,000 | thousands by filing date | |
| BLACKROCK ETF TRUST II | 092528108 | ISHARES HIGH YIE | 1,000 | $25,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 1,250 | $25,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 6,529 | $25,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 9,249 | $25,000 | thousands by filing date | |
| GENASYS INC | 36872P103 | CMN | 3,739 | $25,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 3,068 | $25,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 868 | $25,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 2,797 | $25,000 | thousands by filing date | |
| KINNATE BIOPHARMA INC | 49705R105 | COM | 788 | $25,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 1,146 | $25,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 3,363 | $25,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 8,360 | $25,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 4,949 | $25,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 5,099 | $25,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP II | 31809Y202 | UNIT 02/17/2026 | 2,477 | $25,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681105 | COM CL A | 2,592 | $25,000 | thousands by filing date | |
| SUSTAINABLE DEVELP ACQU I CO | 86934L202 | UNIT 02/04/2026 | 2,531 | $25,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922B303 | BLUE HORIZON BNE | 883 | $25,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP II | G89554110 | UNIT 06/14/2027 | 2,096 | $25,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 4,129 | $25,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 3,363 | $25,000 | thousands by filing date | |
| SANDBRIDGE X2 CORP | 799792205 | UNIT 99/99/9999 | 2,495 | $25,000 | thousands by filing date | |
| PROVIDENT ACQUISITION CORP | G7282L100 | CMN | 2,549 | $25,000 | thousands by filing date | |
| TELIGENT INC NEW COM NEW | 87960W203 | COM | 40,968 | $25,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 8,676 | $25,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 1,212 | $25,000 | thousands by filing date | |
| PINE IS ACQUISITION CORP UNIT EX | 722615200 | Stock | 2,464 | $25,000 | thousands by filing date | |
| 17 ED & TECHNOLOGY GROUP INC | 81807M106 | ADS | 3,500 | $25,000 | thousands by filing date | |
| GROWTH CAP ACQUISITION CORP | 39986V206 | UNIT 06/01/2027 | 2,564 | $25,000 | thousands by filing date | |
| VISTAS MEDIA ACQUISITION CO | 92840T107 | COM CL A | 2,506 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| SMARTRENT INC COM CL A | 316790104 | Common Stock | 2,529 | $25,000 | thousands by filing date | |
| GIGCAPITAL3 INC | 37519D107 | COM | 2,380 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347G820 | PSHS CONSUMR GD | 2,963 | $25,000 | thousands by filing date | |
| BLACKROCK ETF TRUST | 09290C103 | ISHARES US EQUIT | 720 | $24,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,020 | $24,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 899 | $24,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 4,445 | $24,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 256 | $24,000 | thousands by filing date | |
| ADVANCED FLOWER CAP INC | 00109K105 | COM | 1,136 | $24,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 2,523 | $24,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 800 | $24,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 5,060 | $24,000 | thousands by filing date | |
| NUVATION BIO INC | 67080N119 | WARR | 8,854 | $24,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 11,374 | $24,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 3,334 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 2,279 | $24,000 | thousands by filing date | |
| CHEMOMAB THERAPEUTICS LTD | 16385C104 | SPONSORED ADS | 834 | $24,000 | thousands by filing date | |
| NULL | 68620A203 | NULL | 2,567 | $24,000 | thousands by filing date | |
| BIOTECH ACQUISITION COMPANY | G1125A124 | UNIT 11/30/2027 | 2,411 | $24,000 | thousands by filing date | |
| BITE ACQUISITION CORP | 09175K204 | UNIT 99/99/9999 | 2,417 | $24,000 | thousands by filing date | |
| BREEZE HOLDINGS ACQUISITN CO | 106762107 | COM | 2,382 | $24,000 | thousands by filing date | |
| AEQUI ACQUISITION CORP | 00775W201 | UNIT 11/30/2027 | 2,381 | $24,000 | thousands by filing date | |
| AFRICAN GOLD ACQUISITION COR | G0112R116 | UNIT 99/99/9999 | 2,381 | $24,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 1,704 | $24,000 | thousands by filing date | |
| SCOPUS BIOPHARMA INC | 809171101 | Equity | 2,811 | $24,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 3,730 | $24,000 | thousands by filing date | |
| VIA OPTRONICS AG | 91823Y109 | SPONSORED ADS | 1,852 | $24,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 7,363 | $24,000 | thousands by filing date | |
| BOWX ACQUISITION CORP | 103085205 | UNIT 08/03/2025 | 1,953 | $24,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 295 | $24,000 | thousands by filing date | |
| SPARTAN ACQUISITION CORP II | 846775203 | UNIT 99/99/9999 | 2,097 | $24,000 | thousands by filing date | |
| SPORTS ENTERTAINMENT ACQU CO | 84918M106 | COM CL A | 2,503 | $24,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 10,532 | $24,000 | thousands by filing date | |
| LIV CAP ACQUISITION CORP | G5510C124 | UNIT 99/99/9999 | 2,294 | $24,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 1,437 | $23,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 1,161 | $23,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 2,000 | $23,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 6,764 | $23,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C532 | US EQTY ULTRA B | 797 | $23,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 10,382 | $23,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AMERICA | 47089W104 | Stock | 2,701 | $23,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F680 | FT VEST US EQT | 719 | $23,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 850 | $23,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 24,000 | $23,000 | thousands by filing date | principal |
| ISHARES 25 YEAR TREASURY STRIPS BOND ETF | 46436E577 | ETF | 1,225 | $23,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F698 | FT VEST US EQT | 712 | $23,000 | thousands by filing date | |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 921 | $23,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 40 | $23,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 834 | $23,000 | thousands by filing date | |
| USHG ACQUISITION CORP | 91748P209 | COMMON STOCK | 2,278 | $23,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,220 | $23,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 2,400 | $23,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 1,806 | $23,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 10,799 | $23,000 | thousands by filing date | |
| AUTHENTIC EQUITY ACQUISTN CO | G06607108 | COM | 2,400 | $23,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,620 | $23,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 6,814 | $23,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,786 | $23,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 18,352 | $23,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 768 | $23,000 | thousands by filing date | |
| AJAX I | G0190X118 | UNIT 99/99/9999 | 2,192 | $23,000 | thousands by filing date | |
| MORINGA ACQUISITION CORP | G6S23K116 | UNIT 02/16/2026 | 2,362 | $23,000 | thousands by filing date | |
| ALTIMAR ACQUISITION CORP III | G0370U124 | UNIT 99/99/9999 | 2,311 | $23,000 | thousands by filing date | |
| HORIZON ACQUISITION CORPORAT | G46044122 | UNIT 10/19/2027 | 2,055 | $23,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 2,838 | $23,000 | thousands by filing date | |
| ISHARES TR | 46436E585 | VIRTUAL WRK LIFE | 816 | $23,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 15,444 | $23,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 6,007 | $23,000 | thousands by filing date | |
| POPULATION HEALTH INVS CO IN | G71716107 | CMN | 2,332 | $23,000 | thousands by filing date | |
| WISDOMTREE GROWTH LEADERS FUND | 97717Y717 | WT GRWTH LDRS | 507 | $23,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V | 31810Q115 | *W EXP 12/31/202 | 9,509 | $23,000 | thousands by filing date | |
| KISMET ACQUISITION THREE | G5276C128 | CL A SHARES | 2,340 | $23,000 | thousands by filing date | |
| RECHARGE ACQUISITION CORP UNIT EX | 756229209 | Stock | 2,281 | $23,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 1,061 | $23,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 2,338 | $23,000 | thousands by filing date | |
| VPC IMPACT ACQU HOLDI III IN | 91835J207 | UNIT 99/99/9999 | 2,320 | $23,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679674 | ENT LKD 39 | 225 | $23,000 | thousands by filing date | |
| VG ACQUISITION C | G9446E121 | UNIT | 2,174 | $23,000 | thousands by filing date | |
| CONSONANCE HFW ACQUISITION C | G2445M129 | UNIT 99/99/9999 | 2,311 | $23,000 | thousands by filing date | |
| DMY TECHNOLOGY GROUP INC II | 233277201 | UNIT 99/99/9999 | 1,430 | $23,000 | thousands by filing date | |
| NUVATION BIO INC COM CL A | 67080N101 | Stock | 2,063 | $22,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 1,000 | $22,000 | thousands by filing date | put |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 218 | $22,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 9,276 | $22,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 1,956 | $22,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 4,004 | $22,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 6,279 | $22,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,016 | $22,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 13,678 | $22,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 2,007 | $22,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 779 | $22,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265126 | COM NEW | 4,591 | $22,000 | thousands by filing date | |
| ARROW INVTS TR | 042765719 | RESV CAP ETF | 220 | $22,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L647 | DEV MRK EX LOW | 833 | $22,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 1,808 | $22,000 | thousands by filing date | |
| 26 Capital Acquisition Corp | 90138P100 | Equity | 2,226 | $22,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 249 | $22,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 1,693 | $22,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 13,700 | $22,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 335 | $22,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A788 | REAL ASSETS ESG | 1,664 | $22,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 1,833 | $22,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 2,443 | $22,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 4,055 | $22,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 3,425 | $22,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 940 | $22,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 3,031 | $22,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 923 | $22,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 806 | $22,000 | thousands by filing date | |
| MEIWU TECHNOLOGY COMPANY LTD | G9604C107 | ORD SHS | 2,175 | $22,000 | thousands by filing date | |
| FOXWAYNE ENTERPRIS AQSTN COR | 35166L208 | UNIT 01/12/2026 | 2,109 | $22,000 | thousands by filing date | |
| EPIPHANY TECHNOLOGY ACQUISIT | 29429X208 | UNIT 99/99/9999 | 2,160 | $22,000 | thousands by filing date | |
| NORTH ATLANTIC ACQUISITN COR | G66139117 | UNIT 10/20/2025 | 2,161 | $22,000 | thousands by filing date | |
| AGILE GROWTH CORP | G01202129 | UNIT 03/09/2026 | 2,223 | $22,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681204 | UNIT 07/01/2027 | 2,192 | $22,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 2,929 | $22,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 15,867 | $22,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 776 | $22,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 782 | $22,000 | thousands by filing date | |
| EXECUTIVE NETWORK PARTNERING | 30158L100 | CMN | 2,250 | $22,000 | thousands by filing date | |
| MOLECULAR DATA INC | 60852L106 | SPONSORED ADS | 20,334 | $22,000 | thousands by filing date | |
| OMNICHANNEL ACQUISITION CORP | 68218L207 | UNIT 99/99/9999 | 2,205 | $22,000 | thousands by filing date | |
| METROMILE INC | 591697115 | *W EXP 02/09/202 | 7,067 | $22,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,686 | $22,000 | thousands by filing date | |
| ALBERTON ACQUISITION CORP | G35006108 | ORD SHS | 1,977 | $22,000 | thousands by filing date | |
| YUNHONG INTERNATIONAL | g98882106 | COM | 2,203 | $22,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 4,205 | $22,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q381 | BETABLDRS 1-5YR | 865 | $22,000 | thousands by filing date | |
| ROMAN DBDR TECH ACQ CORP; TNT ACQ DT: 5/6/2022; CASH: $10.20 | 77584N101 | COM CL A | 2,156 | $22,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 1,340 | $22,000 | thousands by filing date | |
| OLEMA PHARMACEUTICALS INC | 68062P106 | COM | 636 | $21,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J726 | RAFI STRG US ETF | 707 | $21,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 1,999 | $21,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,777 | $21,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 6,036 | $21,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 991 | $21,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 2,653 | $21,000 | thousands by filing date | |
| RIDENOW GROUP INC | 781386305 | COM CL B | 485 | $21,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 2,590 | $21,000 | thousands by filing date | |
| MEDIROM HEALTHCARE TECH INC | 58510H103 | SPONSORED ADS | 1,835 | $21,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922B501 | DISTILLATE INTNL | 800 | $21,000 | thousands by filing date | |
| BLACKROCK ETF TRUST | 09290C400 | ISHA HEAL IN ETF | 760 | $21,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 2,612 | $21,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 2,044 | $21,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 11,980 | $21,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 21,000 | $21,000 | thousands by filing date | principal |
| OPTINOSE INC | 68404V100 | COM | 5,603 | $21,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 2,121 | $21,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 4,503 | $21,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 2,812 | $21,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 5,695 | $21,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 3,035 | $21,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,589 | $21,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 2,005 | $21,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 23,989 | $21,000 | thousands by filing date | |
| OCA ACQUISITION CORP | 670865203 | UNIT 01/14/2026 | 2,148 | $21,000 | thousands by filing date | |
| ACTIVESHARES ETF TR | 00509W105 | CLRBRDG FCS ESG | 630 | $21,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 2,279 | $21,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514129 | UNIT 99/99/9999 | 1,835 | $21,000 | thousands by filing date | |
| NORTHERN GENESIS ACQUISITION | 66516U200 | UNIT 99/99/9999 | 2,093 | $21,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 1,014 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 1,935 | $21,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 10,410 | $21,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 6,108 | $21,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P751 | FTSE ITALY ETF | 775 | $21,000 | thousands by filing date | |
| PROGRESS ACQUISITION CORP | 74327P204 | UNIT 12/25/2025 | 2,173 | $21,000 | thousands by filing date | |
| HEALTH ASSURANCE ACQUISITION | 42226W208 | UNIT 99/99/9999 | 1,995 | $21,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P503 | DELTASHS S&P | 346 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347G812 | ULTSHT CONS SERV | 1,972 | $21,000 | thousands by filing date | |
| DRAGONEER GROWTH OPPORTUN CO | G28302126 | UNIT 08/18/2027 | 2,011 | $21,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 4,206 | $21,000 | thousands by filing date | |
| GIGCAPITAL3 INC | 37519D206 | UNIT 99/99/9999 | 1,753 | $21,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 6,030 | $20,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 2,110 | $20,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 500 | $20,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092527 | SML MID MLTFCT | 605 | $20,000 | thousands by filing date | |
| ISHARES TR | 46435U218 | ESG MSCI LEADR | 285 | $20,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 625 | $20,000 | thousands by filing date | |
| PGIM SHORT DUR HIG YLD OPP F | 69355J104 | COM | 1,021 | $20,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE | 833636111 | RIGHT 04/19/2021 | 6,635 | $20,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 2,278 | $20,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,100 | $20,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 8,796 | $20,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 5,249 | $20,000 | thousands by filing date | |
| INNOVATOR U.S. EQUITY BUFFER ETF - MAY | 45782C326 | ETF | 653 | $20,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 12,287 | $20,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C565 | US EQTY ULTRA BU | 713 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 751 | $20,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430362 | ACCESS INFLATI | 348 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347G796 | MSCI TRANFRMTNAL | 471 | $20,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 37,936 | $20,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 1,002 | $20,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 2,016 | $20,000 | thousands by filing date | |
| ARCLIGHT CLEAN TRANSITION CO | G04561109 | CL A | 1,127 | $20,000 | thousands by filing date | |
| SQZ BIOTECHNOLOGIES CO | 78472W104 | COM | 1,453 | $20,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 2,662 | $20,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,704 | $20,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 1,700 | $20,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 1,616 | $20,000 | thousands by filing date | |
| NULL | 09071M205 | NULL | 7,265 | $20,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 2,304 | $20,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 8,563 | $20,000 | thousands by filing date | |
| MSD ACQUISITION CORP | G5709C117 | UNIT 03/25/2026 | 1,926 | $20,000 | thousands by filing date | |
| FTAC ATHENA ACQUISITION CORP | G37283127 | UNIT 99/99/9999 | 2,015 | $20,000 | thousands by filing date | |
| FIRST RESERVE SUSTAINABLE GW | 336169206 | UNIT 03/05/2026 | 2,000 | $20,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 6,526 | $20,000 | thousands by filing date | |
| OCA ACQUISITION CORP | 670865104 | COM CL A | 2,000 | $20,000 | thousands by filing date | |
| THUNDER BRIDGE CAP PRTNRS II | 88605T209 | UNIT 02/15/2028 | 2,019 | $20,000 | thousands by filing date | |
| GREENCITY ACQUISITION CORP | G4086B107 | COM | 1,980 | $20,000 | thousands by filing date | |
| ISUN INC | 465246106 | COMMON | 1,478 | $20,000 | thousands by filing date | |
| FTAC OLYMPUS ACQUISITION COR | G37288100 | CL A SHS | 1,855 | $20,000 | thousands by filing date | |
| INNOVATOR ETFS TR | 45782C219 | DOUBLE STACKR 9 | 725 | $20,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 2,356 | $20,000 | thousands by filing date | |
| EMLES TR | 291361707 | CMN | 654 | $20,000 | thousands by filing date | |
| 890 5TH AVE PARTNERS INC | 28250A105 | COM CL A | 2,055 | $20,000 | thousands by filing date | |
| ROTH CH ACQUISITION II CO | 778673103 | COM | 1,973 | $20,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L105 | COM CL A | 2,026 | $20,000 | thousands by filing date | |
| TPG PACE TECH OPPORTUNITIES | G8990Y111 | UNIT 99/99/9999 | 1,987 | $20,000 | thousands by filing date | |
| PRIVETERRA ACQUISITION CORP | 74275N201 | UNIT 99/99/9999 | 2,038 | $20,000 | thousands by filing date | |
| INSU ACQUISITION CORP III | 457817302 | UNIT 12/31/2026 | 1,935 | $20,000 | thousands by filing date | |
| FRAZIER LIFESCIENCES ACQU CORP UNIT EXP 120925 | G3710A121 | Stock | 1,999 | $20,000 | thousands by filing date | |
| DPCM CAPITAL, INC. | 23344P200 | COM | 1,932 | $20,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 2,236 | $20,000 | thousands by filing date | |
| CF ACQUISITION CORP VI | 12521J202 | UNIT 99/99/9999 | 2,056 | $20,000 | thousands by filing date | |
| KRANESHARES TR | 500767686 | KYA DYNMC INC | 927 | $20,000 | thousands by filing date | |
| Forest Road Acquisition Corp | 34619R201 | Unit | 1,829 | $20,000 | thousands by filing date | |
| GALILEO ACQUISITION CORP | G3770A128 | UNIT 99/99/9999 | 1,935 | $20,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 200 | $19,000 | thousands by filing date | put |
| FIRST TR EXCHNG TRADED FD VI | 33740U505 | FT VEST UQ EQT | 604 | $19,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 2,057 | $19,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 364 | $19,000 | thousands by filing date | |
| US GOLD CORP | 90291C201 | COMMON STOCK | 1,837 | $19,000 | thousands by filing date | |
| IMMATICS N.V | N44445109 | SHS | 1,710 | $19,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H252 | MONARCH BLUE ELI | 772 | $19,000 | thousands by filing date | |
| KRANESHARES QUADRATIC INTEREST RATE VOLATILITY AND INFLATION HEDGE ETF | 500767736 | ETF | 677 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 369 | $19,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 1,006 | $19,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,863 | $19,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H591 | CMN | 498 | $19,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R603 | CMN | 514 | $19,000 | thousands by filing date | |
| VERIFYME INC | 92346X206 | COM NEW | 4,694 | $19,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767769 | MSCI EMG EX CH | 601 | $19,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E798 | QRAFT AI ENHCD | 489 | $19,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 3,360 | $19,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO L | G6593L106 | COM | 1,147 | $19,000 | thousands by filing date | |
| CALLIDITAS THERAPEUTICS AB SPONSERED | 13124Q106 | ADS | 691 | $19,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 862 | $19,000 | thousands by filing date | |
| EOS ENERGY ENTERPRISES, INC | 29415C119 | *W EXP 11/17/202 | 2,107 | $19,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U209 | COM | 9,663 | $19,000 | thousands by filing date | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T108 | COM | 5,972 | $19,000 | thousands by filing date | |
| LIGHTJUMP ACQUISITION CORP | 53228M205 | UNIT 01/06/2026 | 1,934 | $19,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 4,162 | $19,000 | thousands by filing date | |
| MEDAVAIL HOLDINGS INC | 58406B103 | COM | 1,366 | $19,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,677 | $19,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 12,579 | $19,000 | thousands by filing date | |
| ROMAN DBDR TECH ACQUISITION | 77584N200 | UNIT 99/99/9999 | 1,908 | $19,000 | thousands by filing date | |
| REVOLUTION ACCEL | 76156P205 | UNIT | 1,784 | $19,000 | thousands by filing date | |
| Sandbridge Acquisition Corp | 799793203 | Unit | 1,869 | $19,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P205 | UNIT 09/01/2024 | 1,626 | $19,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,000 | $18,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 300 | $18,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 700 | $18,000 | thousands by filing date | put |
| ARQ INC | 00770C101 | COM | 3,244 | $18,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 100 | $18,000 | thousands by filing date | call |
| CF BANKSHARES INC | 12520L109 | COM | 925 | $18,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 2,922 | $18,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 1,521 | $18,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,783 | $18,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P595 | SENIOR LOAN ETF | 733 | $18,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 16,000 | $18,000 | thousands by filing date | principal |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 487 | $18,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 649 | $18,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 5,868 | $18,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 1,030 | $18,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 477 | $18,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 971 | $18,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 11,089 | $18,000 | thousands by filing date | |
| TELUS INTL CDA INC | 87975H100 | SUB VTG SHS | 631 | $18,000 | thousands by filing date | |
| GUILD HLDGS CO | 40172N107 | CL A | 1,285 | $18,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 18,000 | $18,000 | thousands by filing date | principal |
| MORPHOSYS AG | 617760202 | ADR | 826 | $18,000 | thousands by filing date | |
| PROS HOLDINGS INC | 74346YAH6 | BOND | 18,000 | $18,000 | thousands by filing date | principal |
| KAIROS ACQUISITION CORP | G52110114 | COM | 1,825 | $18,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP V | 17144T107 | COM | 1,853 | $18,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC | 28414H202 | CONV | 387 | $18,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U105 | UNIT 10/15/2025 | 1,504 | $18,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 17,507 | $18,000 | thousands by filing date | |
| COMPUTE HEALTH ACQUISITIN CO | 204833206 | UNIT 99/99/9999 | 1,766 | $18,000 | thousands by filing date | |
| ETRACS BLOOMBERG CMDY TTL RTNSM ETN | 90269A450 | ETF | 1,121 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 945 | $18,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 5,559 | $18,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L121 | UNIT 99/99/9999 | 1,575 | $18,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 4,239 | $18,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 13,226 | $18,000 | thousands by filing date | |
| CLIMATE REAL IMPACT SLUTINS | 187171202 | UNIT 99/99/9999 | 1,805 | $18,000 | thousands by filing date | |
| LANDOS BIOPHARMA INC | 515069102 | CMN | 1,828 | $18,000 | thousands by filing date | |
| SHINECO INC | 824567309 | COM | 4,412 | $18,000 | thousands by filing date | |
| QELL ACQUISITION CORP | G7307X105 | CL A | 1,800 | $18,000 | thousands by filing date | call |
| SEVEN OAKS ACQUISITION CORP | 81787X106 | COM CL A | 1,870 | $18,000 | thousands by filing date | |
| GAUCHO GROUP HLDGS INC COM NEW | 36809R206 | Stock | 5,037 | $18,000 | thousands by filing date | |
| DHB CAPITAL CORP | 23291W208 | UNIT 03/31/2028 | 1,860 | $18,000 | thousands by filing date | |
| CASCADE ACQUISITION CORP UNIT | 147151203 | Stock | 1,751 | $18,000 | thousands by filing date | |
| PACIFIC GLOBAL SENIOR LOAN ETF | 69434K403 | ETF | 359 | $18,000 | 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 |