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 |
|---|---|---|---|---|---|---|
| GLOBIS ACQUISITION CORP | 379582208 | UNIT 11/01/2025 | 1,715 | $18,000 | thousands by filing date | |
| ALTIMAR ACQUISITION CORP | G03707109 | SHS CL A | 1,778 | $18,000 | thousands by filing date | |
| YUCAIPA ACQUISITION CORP | G9879L121 | UNIT 99/99/9999 | 1,787 | $18,000 | thousands by filing date | |
| SOFTWARE ACQUISITN GRUP INC | 83407F200 | UNIT 99/99/9999 | 1,605 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347G846 | ULSHRT SEMIC NEW | 1,737 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74348A137 | ULTSHT SMLCP600 | 2,687 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y790 | US EFFIC CORE FD | 464 | $17,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D390 | ETRA BL CO MAT 5 | 979 | $17,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 1,899 | $17,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 131 | $17,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 7,263 | $17,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 16,022 | $17,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 7,337 | $17,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 548 | $17,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 1,108 | $17,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 2,022 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051135 | CMN | 221 | $17,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 5,119 | $17,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 4,350 | $17,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 1,658 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 1,060 | $17,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P637 | FTSE JAPAN HDG | 544 | $17,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 1,577 | $17,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 3,826 | $17,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 1,399 | $17,000 | thousands by filing date | |
| GLOBAL BLUE GROUP HOLDING AG ORD SHS | H33700107 | Stock | 1,387 | $17,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 3,316 | $17,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 16,000 | $17,000 | thousands by filing date | principal |
| TRICIDA INC | 89610F101 | COM | 3,162 | $17,000 | thousands by filing date | |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 1,627 | $17,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P514 | FUND | 308 | $17,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,179 | $17,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 1,376 | $17,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 591 | $17,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 11,870 | $17,000 | thousands by filing date | |
| TIMBER PHARMACEUTICALS INC | 887080109 | COM | 8,399 | $17,000 | thousands by filing date | |
| TECH AND ENERGY TRANSITION | 87823R201 | UNIT 03/31/2028 | 1,655 | $17,000 | thousands by filing date | |
| PGIM ETF TR | 69344A305 | QMA STRGC ALPH | 291 | $17,000 | thousands by filing date | |
| CYCLACEL PHARMACE 6percent PFDCONV | 23254L603 | Stock | 2,352 | $17,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C409 | COM | 9,335 | $17,000 | thousands by filing date | |
| SCP & CO HEALTHCARE ACQUSTN | 784065104 | CMN | 1,800 | $17,000 | thousands by filing date | |
| HEALTHCARE SERVICES ACQU COR | 42227K104 | CMN | 1,743 | $17,000 | thousands by filing date | |
| ORIENTAL CULTURE HOLDING LTD | G6796W107 | ORD SHS | 2,126 | $17,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 3,515 | $17,000 | thousands by filing date | |
| GIGCAPITAL2 INC | 375036118 | *W EXP 02/28/202 | 22,289 | $17,000 | thousands by filing date | |
| TIGA ACQUISITION CORP | G88672129 | UNIT 99/99/9999 | 1,638 | $17,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A408 | mc | 966 | $17,000 | thousands by filing date | |
| AMERICAS TECHNOLOGY ACQUISIT | G0404A102 | COM | 1,724 | $17,000 | thousands by filing date | |
| GLOBIS ACQUISITION CORP | 379582109 | COM | 1,757 | $17,000 | thousands by filing date | |
| LIONHEART ACQUISITION CORP | 53625R203 | CMN | 1,656 | $17,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITI | 74348Q108 | COM | 1,370 | $17,000 | thousands by filing date | |
| CITIC CAPITAL ACQUISITION CO | G21513125 | UNIT 99/99/9999 | 1,566 | $17,000 | thousands by filing date | |
| SWITCHBACK II CORPORATION | G8633T123 | Cmn | 1,702 | $17,000 | thousands by filing date | |
| 890 5TH AVE PARTNERS INC | 28250A204 | UNIT 01/12/2026 | 1,742 | $17,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 2,931 | $17,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 1,224 | $17,000 | thousands by filing date | |
| SUPERNOVA PARTNERS ACQUISITI | 86846V207 | UNIT 99/99/9999 | 1,578 | $17,000 | thousands by filing date | |
| HOLICITY INC | 435063110 | W EXP 08/04/202 | 5,726 | $17,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 722 | $17,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,766 | $16,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 200 | $16,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 875 | $16,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 4,022 | $16,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 5,510 | $16,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF MAY | 45782C292 | ETF | 562 | $16,000 | thousands by filing date | |
| INOTIV INC | 45783Q100 | COM | 796 | $16,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 701 | $16,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,720 | $16,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 681 | $16,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509VAA8 | NOTE 1.750%12/1 | 14,000 | $16,000 | thousands by filing date | principal |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 199 | $16,000 | thousands by filing date | |
| DBX ETF TR | 233051218 | XTRACKERS MSCI | 539 | $16,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 2,384 | $16,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 632 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y479 | ETFs | 443 | $16,000 | thousands by filing date | |
| ACKRELL SPAC PARTNERS I CO | 00461L204 | COMMON STOCK | 1,621 | $16,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 1,103 | $16,000 | thousands by filing date | |
| COLLPLANT BIOTECHNOLOGIES LTD SHS NEW | 19516R107 | Stock | 1,178 | $16,000 | thousands by filing date | |
| Leuthold Core ETF | 527289789 | ETF | 556 | $16,000 | thousands by filing date | |
| GENFIT S A | 372279109 | ADS | 3,500 | $16,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 16,000 | $16,000 | thousands by filing date | principal |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 15,000 | $16,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 403 | $16,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,500 | $16,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,139 | $16,000 | thousands by filing date | |
| ALSET EHOME INTERNATIONAL IN | 02116A104 | COM | 1,345 | $16,000 | thousands by filing date | |
| KIROMIC BIOPHARMA INC | 497634105 | COM | 1,749 | $16,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 3,362 | $16,000 | thousands by filing date | |
| NEWBURY STREET ACQUISITN COR | 65101L203 | UNIT 04/30/2028 | 1,615 | $16,000 | thousands by filing date | |
| ROSS ACQUISITION CORP II | G7641C122 | UNIT 99/99/9999 | 1,624 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A156 | LHA MKT ST ALP | 602 | $16,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 4,204 | $16,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886TAJ1 | NOTE 1.750% 6/0 | 15,000 | $16,000 | thousands by filing date | principal |
| MINGZHU LOGISTICS HLDGS LTD | G6180C105 | COM | 3,388 | $16,000 | thousands by filing date | |
| KAIXIN AUTO HLDGS | G5223X100 | CMN | 4,775 | $16,000 | thousands by filing date | |
| BCLS ACQUISITION CORP | G0904B105 | CMN | 1,473 | $16,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 5,884 | $16,000 | thousands by filing date | |
| FLJ GROUP LIMITED SPON ADS | 74738J102 | ADR | 6,025 | $16,000 | thousands by filing date | |
| MOTIVE CAPITAL CORP | G6293A103 | SHS CL A | 1,585 | $16,000 | thousands by filing date | |
| BURGUNDY TECHNOLOGY ACQU COR | G1702T124 | *W EXP 08/31/202 | 15,348 | $16,000 | thousands by filing date | |
| ORION ACQUISITION CORP | 68626A207 | UNIT 02/19/2026 | 1,626 | $16,000 | thousands by filing date | |
| ROTOR ACQUISITION CORP | 77879W204 | UNIT 06/15/2027 | 1,590 | $16,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 4,737 | $16,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISITIN IV | 34964K207 | UNIT 03/31/2028 | 1,609 | $16,000 | thousands by filing date | |
| PINE IS ACQUISITION CORP | 722615119 | *W EXP 10/29/202 | 11,221 | $16,000 | thousands by filing date | |
| LISTED FD TR | 53656F441 | mc | 1,268 | $16,000 | thousands by filing date | |
| ALPHA CAPITAL ACQUISITION CO | G0316P114 | UNIT 02/16/2026 | 1,606 | $16,000 | thousands by filing date | |
| CHINA SXT PHARMACEUTICALS IN | G2161P116 | ORD SHS NEW | 8,523 | $16,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G106 | ORD SHS | 1,433 | $16,000 | thousands by filing date | |
| VIRTUOSO ACQUISITION CORP | 92837j203 | COM | 1,651 | $16,000 | thousands by filing date | |
| SOFTWARE ACQUISITN GRUP INC | 83407F101 | COM CL A | 1,599 | $16,000 | thousands by filing date | |
| MONAKER GROUP INC | 609011200 | COM NEW | 4,880 | $16,000 | thousands by filing date | |
| KISMET ACQUISITION ONE CORP | G52753129 | UNIT 08/06 | 1,576 | $16,000 | thousands by filing date | |
| HIGHCAPE CAP ACQUISITION COR | 42984L113 | W EXP 09/30/202 | 4,781 | $16,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,000 | $15,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 576 | $15,000 | thousands by filing date | |
| IMMUNOME INC | 45257U108 | COM | 448 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A388 | APTUS DEFINED | 521 | $15,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 1,131 | $15,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 621 | $15,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 4,000 | $15,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 2,604 | $15,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,066 | $15,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,118 | $15,000 | thousands by filing date | |
| SKILLFUL CRAFTSMAN ED TECH L | G8211A108 | ORD SHS | 4,358 | $15,000 | thousands by filing date | |
| LISTED FDS TR | 53656F862 | SHARES CORE BD | 587 | $15,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 1,695 | $15,000 | thousands by filing date | |
| PURECYCLE TECHNOLOGIES INC | 74623V202 | UNIT 06/17/2026 | 455 | $15,000 | thousands by filing date | |
| AMPLITECH GROUP INC | 03211Q119 | *W EXP 02/26/202 | 3,473 | $15,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 14,000 | $15,000 | thousands by filing date | principal |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 15,000 | $15,000 | thousands by filing date | principal |
| BOLT BIOTHERAPEUTICS INC | 097702104 | COM | 465 | $15,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 6,850 | $15,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 733 | $15,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 2,243 | $15,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,012 | $15,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 1,264 | $15,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 1,213 | $15,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,029 | $15,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 6,000 | $15,000 | thousands by filing date | |
| FRONTIER ACQUISITION CORP | G36826116 | UNIT 03/01/2026 | 1,533 | $15,000 | thousands by filing date | |
| VERSUS SYSTEMS INC | 92535P808 | COM NEW | 1,994 | $15,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E248 | S&P INTL DEV | 559 | $15,000 | thousands by filing date | |
| METACRINE INC | 59101E103 | COM | 2,375 | $15,000 | thousands by filing date | |
| BIOPHYTIS SA | 09076G104 | ADS | 1,136 | $15,000 | thousands by filing date | |
| VIEW INC | 92671V114 | *W EXP 03/08/202 | 8,583 | $15,000 | thousands by filing date | |
| CROWN PROPTECH ACQUISITIONS | G25741128 | UNIT 99/99/9999 | 1,499 | $15,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 1,337 | $15,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108870 | AMPLIFY EMERGING | 288 | $15,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T205 | MEDLEY MANAGEMENT INC | 2,153 | $15,000 | thousands by filing date | |
| BTRS HOLDINGS INC | 11778X104 | COM CL 1 | 1,042 | $15,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 6,600 | $15,000 | thousands by filing date | |
| GORES HOLDINGS VI INC | 38286R113 | W EXP 08/24/202 | 3,865 | $15,000 | thousands by filing date | |
| CAPSTAR SPL PURP ACQUISITION | 14070Y200 | UNIT 07/09/2027 | 1,440 | $15,000 | thousands by filing date | |
| SCION TECH GROWTH I | G31067104 | CMN | 1,505 | $15,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 3,542 | $15,000 | thousands by filing date | |
| NEXTGEN ACQUISITION CORP II | G65317110 | UNIT 03/23/2026 | 1,525 | $15,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J826 | MLTDCTR MEDIA | 401 | $15,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITION UNIT EX 030126 | 74350A207 | Stock | 1,508 | $15,000 | thousands by filing date | |
| GORES TECHNOLOGY PARTNERS II | 38287L206 | UNIT 03/16/2028 | 1,491 | $15,000 | thousands by filing date | |
| AIRNET TECHNOLOGY INC | 00941Q104 | SPONSORED ADR | 4,516 | $15,000 | thousands by filing date | |
| Porch Group Inc Ordinary Shares - Class A | 733245112 | Stock | 2,421 | $15,000 | thousands by filing date | |
| BOQII HLDG LTD | 09950L104 | SPONSORED ADS | 2,680 | $15,000 | thousands by filing date | |
| CF ACQUISITION CORP V | 12520R205 | UNIT 01/25/2026 | 1,504 | $15,000 | thousands by filing date | |
| FG NEW AMER ACQUISITION CORP | 30259V205 | UNIT 08/31/2027 | 1,382 | $15,000 | thousands by filing date | |
| D8 HOLDINGS CORP | G2614K102 | UNIT 99/99/9999 | 1,459 | $15,000 | thousands by filing date | |
| CHARDAN HEALTHCR ACQSTN 2 CO | 15957T107 | COM | 1,449 | $15,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L122 | UNIT 99/99/9999 | 668 | $15,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 5,142 | $14,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 342 | $14,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 590 | $14,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,991 | $14,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 6,454 | $14,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 549 | $14,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F763 | FT VEST US EQT | 413 | $14,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q105 | SIMP AF WORL ETF | 527 | $14,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 633 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A511 | CMN | 443 | $14,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 603 | $14,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 540 | $14,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,109 | $14,000 | thousands by filing date | |
| MOATABLE INC | 759892300 | COM | 1,600 | $14,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 2,266 | $14,000 | thousands by filing date | |
| PROMETHEUS BIOSCIENCES INC | 74349U108 | COM | 776 | $14,000 | thousands by filing date | |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 2,604 | $14,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A168 | RIGHT 04/14/2021 | 130,191 | $14,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 2,946 | $14,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086AB7 | BOND | 14,000 | $14,000 | thousands by filing date | principal |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 4,981 | $14,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 727 | $14,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 641 | $14,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 13,000 | $14,000 | thousands by filing date | principal |
| VIRPAX PHARMACEUTICALS INC | 928251107 | COM | 2,980 | $14,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y813 | ULTRA SHT ACTV | 560 | $14,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $14,000 | thousands by filing date | principal |
| IMARA INC | 45249V107 | COM | 1,639 | $14,000 | thousands by filing date | |
| CINCINNATI BANCORP INC | 17187C102 | COM | 1,068 | $14,000 | thousands by filing date | |
| CLOOPEN GROUP HOLDING LIMITE | 18900M104 | ADS | 1,032 | $14,000 | thousands by filing date | |
| ALTITUDE ACQUISITION CORP | 02156Y202 | UNIT 11/30/2027 | 1,300 | $14,000 | thousands by filing date | |
| DHC ACQUISITION CORP | G2758T125 | UNIT 02/25/2026 | 1,375 | $14,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 1,440 | $14,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 15,000 | $14,000 | thousands by filing date | principal |
| BAUDAX BIO INC | 07160F107 | COM | 10,573 | $14,000 | thousands by filing date | |
| NORTH MOUNTAIN MERGER CORP | 661204107 | CMN | 1,421 | $14,000 | thousands by filing date | |
| GEMINI THERAPEUTICS INC | 36870G105 | CMN | 1,024 | $14,000 | thousands by filing date | |
| SILVER CREST ACQUISITION COR | G81355102 | CMN | 1,431 | $14,000 | thousands by filing date | |
| BIOFRONTERA AG ADR | 09075G105 | COM | 2,648 | $14,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 1,892 | $14,000 | thousands by filing date | |
| VIVOS THERAPEUTICS INC | 92859E108 | COM | 2,118 | $14,000 | thousands by filing date | |
| VPC IMPACT ACQUISITION HLDNG | G9441E126 | UNIT 09/22/2025 | 1,000 | $14,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019200 | UNIT 08/31/2027 | 1,400 | $14,000 | thousands by filing date | |
| CAPITOL INVESTMENT CORP V | 14064F100 | COM CL A | 1,398 | $14,000 | thousands by filing date | |
| MONTES ARCHIMEDES ACQUISITIO | 612657205 | UNIT 09/30/2025 | 1,398 | $14,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 2,000 | $14,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 17,213 | $14,000 | thousands by filing date | |
| DUDDELL STREET ACQUISITN COR | G28553124 | UNIT 10/21/2025 | 1,403 | $14,000 | thousands by filing date | |
| DD3 ACQUISITION CORP II | 23318M209 | COM | 1,385 | $14,000 | thousands by filing date | |
| SPARTACUS ACQUISITION CORP | 84677L208 | Cmn | 1,414 | $14,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q204 | Cmn | 1,304 | $14,000 | thousands by filing date | |
| LOCUST WALK ACQUISITION CORP | 54015L301 | UNIT 12/31 | 1,383 | $14,000 | thousands by filing date | |
| Decarbonization Plus Acquisition Corp | 242797207 | Unit | 1,288 | $14,000 | thousands by filing date | |
| 10X CAPITAL VENTURE ACQU COR | 88025V206 | UNIT 10/21/2025 | 1,325 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 1,322 | $14,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 5,053 | $13,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 1,529 | $13,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 964 | $13,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 322 | $13,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 800 | $13,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,786 | $13,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 2,005 | $13,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,055 | $13,000 | thousands by filing date | |
| DELCATH SYSTEMS INC | 24661P807 | COMMON STOCK | 1,039 | $13,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 384 | $13,000 | thousands by filing date | |
| ISHARES TR | 46436E833 | IBONDS 28 TRM TS | 515 | $13,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 1,286 | $13,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 1,603 | $13,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,932 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 283 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 750 | $13,000 | thousands by filing date | |
| WTS/GREENROSE ACQUISITION CORP EXP12/31/2024 | 395392111 | WARR | 15,426 | $13,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 3,551 | $13,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 702 | $13,000 | thousands by filing date | |
| ATHIRA PHARMA INC | 04746L104 | COM | 700 | $13,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 2,839 | $13,000 | thousands by filing date | |
| AEVA TECHNOLOGIES INC | 00835Q111 | *W EXP 03/12/202 | 3,964 | $13,000 | thousands by filing date | |
| GREENROSE HOLDING CO INC/THE | 395392202 | COM | 1,171 | $13,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC | 462222AB6 | NOTE 0.125%12/1 | 14,000 | $13,000 | thousands by filing date | principal |
| POWERED BRANDS | G7209M108 | COM | 1,317 | $13,000 | thousands by filing date | |
| NORTHERN STAR INVSTMNT CORP | 66573W107 | COM | 1,326 | $13,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 2,489 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 755 | $13,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 3,452 | $13,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 566 | $13,000 | thousands by filing date | |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 12,000 | $13,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25460G625 | DAILY CLUD BUL2X | 593 | $13,000 | thousands by filing date | |
| DOLPHIN ENTMT INC | 25686H209 | COM NEW | 1,000 | $13,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 2,485 | $13,000 | thousands by filing date | |
| SVF INVESTMENT CORP | G8601L102 | CL A SHS | 1,230 | $13,000 | thousands by filing date | |
| AYALA PHARMACEUTICALS INC | 05465V108 | COM | 1,167 | $13,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 6,125 | $13,000 | thousands by filing date | |
| SLAM CORP | G8210L113 | UNIT 99/99/9999 | 1,277 | $13,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP V | 17144T206 | UNIT 99/99/9999 | 1,317 | $13,000 | thousands by filing date | |
| MALACCA STRAITS ACQUISITION | G5859B125 | UNIT 99/99/9999 | 1,250 | $13,000 | thousands by filing date | |
| E2OPEN PARENT HOLDINGS INC | 29788T111 | *W EXP 02/04/202 | 5,913 | $13,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 7,000 | $13,000 | thousands by filing date | |
| ANTELOPE ENTERPRISE HLDGS LTD SHS NEW | G041JN106 | Stock | 4,071 | $13,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 12,000 | $13,000 | thousands by filing date | principal |
| HYCROFT MINING HOLDING CORP | 44862P125 | W EXP 10/12/202 | 30,921 | $13,000 | thousands by filing date | |
| LANDCADIA HOLDINGS III INC | 51476H209 | UNIT 99/99/9999 | 1,212 | $13,000 | thousands by filing date | |
| TIDAL ETF TR | 886364884 | SOFI WEEKLY INM | 126 | $13,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 4,682 | $13,000 | thousands by filing date | |
| PAINREFORM LTD | M77798102 | SHS | 2,882 | $13,000 | thousands by filing date | |
| SIMPLIFY EXCHANGE TRADED FUN | 82889N509 | NASDAQ 100 DS CN | 478 | $13,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 9,774 | $13,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 2,841 | $13,000 | thousands by filing date | |
| FAST ACQUISITION CORP | 311875207 | UNIT 99/99/9999 | 935 | $13,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T125 | UNIT 99/99/9999 | 1,255 | $13,000 | thousands by filing date | |
| VISTAS MEDIA ACQUISITION CO | 92840T206 | UNIT 08/03/2025 | 1,255 | $13,000 | thousands by filing date | |
| PETRA ACQUISITION INC | 716421201 | UNIT 05/25/2027 | 1,266 | $13,000 | thousands by filing date | |
| AMPLITUDE HEALTHCARE ACQUISITI | 03212a105 | COM | 1,328 | $13,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744120 | UNIT 99/99/9999 | 885 | $13,000 | thousands by filing date | |
| TS INNOVATION ACQUISITN CORP | 87284T209 | UNIT 99/99/9999 | 1,167 | $13,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 2,290 | $12,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 200 | $12,000 | thousands by filing date | put |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 890 | $12,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 900 | $12,000 | thousands by filing date | put |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 571 | $12,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 694 | $12,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,351 | $12,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 1,407 | $12,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 200 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B573 | CMN | 141 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347G770 | ULTRA CYBRSCURTY | 351 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 215 | $12,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 2,750 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347G788 | ULTR NASDAQCMPTG | 308 | $12,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 212 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y529 | DORSY SHRT ETF | 1,327 | $12,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,012 | $12,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 971 | $12,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 2,903 | $12,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 507 | $12,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 4,279 | $12,000 | thousands by filing date | |
| URBAN-GRO INC | 91704K202 | COM NEW | 1,391 | $12,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 3,524 | $12,000 | thousands by filing date | |
| SCWORX CORP COM | 78396V109 | Stock | 6,266 | $12,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 12,000 | $12,000 | thousands by filing date | principal |
| ALTERYX INC | 02156BAD5 | BOND | 13,000 | $12,000 | thousands by filing date | principal |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 948 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 495 | $12,000 | thousands by filing date | |
| NUVVE HOLDING | 67079Y118 | Rights and Bearer Warrants; Warrants (except Bearer) | 6,362 | $12,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 5,574 | $12,000 | thousands by filing date | |
| IMMUNOPRECISE ANTIBODIES LTDCOM NEW | 45257F200 | cs | 1,232 | $12,000 | thousands by filing date | |
| LONGEVERON INC CL A NEW | 54303L104 | Stock | 1,870 | $12,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 6,641 | $12,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 815 | $12,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 3,418 | $12,000 | thousands by filing date | |
| CROWN ELECTROKINETICS CORP | 228339206 | COM NEW | 2,675 | $12,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 102 | $12,000 | thousands by filing date | |
| EDTECHX HOLDINGS ACQU CORP I | 28139A102 | COM CL A | 1,268 | $12,000 | thousands by filing date | |
| TAILWIND INTERNATNAL ACQ COR | G8662F127 | UNIT 99/99/9999 | 1,214 | $12,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 1,216 | $12,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W614 | GOLD STRATEGY | 223 | $12,000 | thousands by filing date | |
| CREATD INC | 225265115 | *W EXP 09/15/202 | 5,934 | $12,000 | thousands by filing date | |
| Natixis Loomis Sayles Short Duration Income ETF | 63873X208 | ETP | 473 | $12,000 | thousands by filing date | |
| HUIZE HLDG LTD | 44473E105 | SPONSORED ADS | 1,441 | $12,000 | thousands by filing date | |
| TURMERIC ACQUISITION CORP | G9127T116 | UNT | 1,187 | $12,000 | thousands by filing date | |
| ALARUM TECHNOLOGIES LTD SPONSORD ADS NEW | 78643B401 | ADR | 8,766 | $12,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 14,076 | $12,000 | thousands by filing date | |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 251 | $12,000 | thousands by filing date | |
| TCW SPECIAL PURPOSE ACQU COR | 87301L205 | UNIT 99/99/9999 | 1,235 | $12,000 | thousands by filing date | |
| RIBBIT LEAP LTD | G7552B121 | UNIT 99/99/9999 | 1,098 | $12,000 | thousands by filing date | |
| YELLOWSTONE ACQUISITION CO | 98566K204 | UNIT 10/22/2025 | 1,120 | $12,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 4,659 | $12,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 1,026 | $12,000 | thousands by filing date | |
| GORES HOLDINGS VI INC | 38286R204 | UNIT 08/24/2027 | 843 | $12,000 | thousands by filing date | |
| LANDCADIA HOLDINGS III INC | 51476H100 | COM CL A | 1,151 | $12,000 | thousands by filing date | |
| PTK ACQUISITION CORP | 69375F207 | UNIT 99/99/9999 | 1,209 | $12,000 | thousands by filing date | |
| DEERFIELD HEALTHCARE TECH AC | 244413209 | UNIT 07/16/2025 | 920 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74348A129 | ULTSHT MIDCAP400 | 1,185 | $12,000 | thousands by filing date | |
| JUNIPER INDL HLDGS INC | 48205G205 | UNIT 11/13/2026 | 890 | $12,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 3,800 | $11,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 148 | $11,000 | thousands by filing date | put |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 316 | $11,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C748 | US EQTY PWR BUF | 350 | $11,000 | thousands by filing date | |
| INNOVAGE HLDG CORP | 45784A104 | COM | 416 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 72 | $11,000 | thousands by filing date | |
| ETF OPPORTUNITIES TRUST | 26923N108 | AMERICAN CONSER | 387 | $11,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A594 | AAM S&P 500 | 385 | $11,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 2,036 | $11,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 235 | $11,000 | thousands by filing date | |
| OPUS GENETICS INC | 67577R102 | COMMON STOCK | 1,810 | $11,000 | thousands by filing date | |
| GREENWICH LIFESCIENCES INC | 396879108 | COMMON STOCK | 309 | $11,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 352 | $11,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 922 | $11,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877201 | COM NEW | 410 | $11,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 798 | $11,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 1,706 | $11,000 | thousands by filing date | |
| TIDAL TRUST I | 886364769 | SP FUNDS S&P GBL | 520 | $11,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 13,384 | $11,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 1,069 | $11,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,437 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 232 | $11,000 | thousands by filing date | |
| FORIAN INC | 34630N106 | cs | 1,069 | $11,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 10,000 | $11,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 9,000 | $11,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 9,000 | $11,000 | thousands by filing date | principal |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 11,000 | $11,000 | thousands by filing date | principal |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 10,000 | $11,000 | thousands by filing date | principal |
| PONTEM CORPORATION | G71707106 | COM | 1,181 | $11,000 | thousands by filing date | |
| ALTERYX INC | 02156BAF0 | BOND | 12,000 | $11,000 | thousands by filing date | principal |
| CNFINANCE HLDGS LTD | 18979T105 | SPON ADS | 2,891 | $11,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 505 | $11,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 5,398 | $11,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P777 | FTSE HONG KONG | 401 | $11,000 | thousands by filing date | |
| SMART POWERR CORP | 168913309 | COM | 1,347 | $11,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 7,500 | $11,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 4,447 | $11,000 | thousands by filing date | |
| METROMILE INC | 591697107 | COM | 1,002 | $11,000 | thousands by filing date | |
| 4D PHARMA PLC | 35085K109 | SPONSORED ADS | 912 | $11,000 | thousands by filing date | |
| CUENTAS INC | 229794201 | COM | 3,320 | $11,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 2,059 | $11,000 | thousands by filing date | |
| FTAC PARNASSUS ACQUISITN COR | 30319B207 | UNIT 03/10/2026 | 1,096 | $11,000 | thousands by filing date | |
| ALUSSA ENERGY ACQUISITION CO | G0232J119 | *W EXP 10/31/202 | 5,040 | $11,000 | thousands by filing date | |
| CONX CORP | 212873202 | UNIT 10/30/2027 | 1,120 | $11,000 | thousands by filing date | |
| BREEZE HOLDINGS ACQUISITN CO | 106762115 | *W EXP 05/25/202 | 15,671 | $11,000 | thousands by filing date | |
| GENERATIONS BANCORP NY INC | 37149G108 | COM | 1,102 | $11,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 495 | $11,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 2,103 | $11,000 | thousands by filing date | |
| NORTHERN GENESIS ACQUISITION | 66516T112 | W EXP 07/31/202 | 1,794 | $11,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8252P121 | UNIT 99/99/9999 | 608 | $11,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 3,917 | $11,000 | thousands by filing date | |
| ZHONGCHAO INC | G9897X107 | CL A | 5,505 | $11,000 | thousands by filing date | |
| KUBIENT INC COM USD0.00001 | 50116V107 | COM | 1,494 | $11,000 | thousands by filing date | |
| GORES HLDGS V INC | 382864114 | *W EXP 08/05/202 | 6,944 | $11,000 | thousands by filing date | |
| L&F ACQUISITION CORP | G53702125 | UNIT 99/99/9999 | 1,100 | $11,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L106 | CL A SHS | 600 | $11,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 3,736 | $11,000 | thousands by filing date | |
| RXR ACQUISITION CORP UNIT EXP 010125 | 74981W206 | Stock | 1,166 | $11,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M133 | UNIT 05/10/2024 | 899 | $11,000 | thousands by filing date | |
| ZANITE ACQUISITION CORP | 98907K202 | un | 1,072 | $11,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITI | 74348Q207 | UNIT 03/30/2027 | 698 | $11,000 | thousands by filing date | |
| INVESTINDUSTRIAL ACQUISITION | G4771L105 | CMN | 1,172 | $11,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679666 | MICROSCTRS 3X | 3,018 | $11,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC | 68232V116 | *W EXP 07/11/202 | 36,284 | $11,000 | thousands by filing date | |
| EMPOWER LTD | G3R39W102 | CL A COM | 1,054 | $11,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 1,015 | $11,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130123 | UNIT 03/01/2024 | 1,054 | $11,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108862 | CRWDBURAU PEER | 676 | $11,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 100 | $10,000 | thousands by filing date | put |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 9,000 | $10,000 | thousands by filing date | principal |
| ANNEXON INC | 03589W102 | COM | 364 | $10,000 | thousands by filing date | |
| VERTEX INC | 92538J106 | CL A | 445 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 185 | $10,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q774 | LDRSHS ALPFACT | 309 | $10,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R502 | COM NEW | 655 | $10,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072307 | US QUALITY GROW | 163 | $10,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 2,195 | $10,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 2,056 | $10,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 869 | $10,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 1,050 | $10,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 941 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 290 | $10,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 3,988 | $10,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 1,636 | $10,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 2,440 | $10,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 1,656 | $10,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P512 | INTEL MACHI ETF | 231 | $10,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 2,774 | $10,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 3,376 | $10,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 1,673 | $10,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 656 | $10,000 | thousands by filing date | |
| NATUZZI S P A | 63905A200 | SPON ADS | 761 | $10,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 21,248 | $10,000 | thousands by filing date | |
| PHX MINERALS INC CL A | 69291A100 | Stock | 3,347 | $10,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 1,693 | $10,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K862 | COM | 836 | $10,000 | thousands by filing date | |
| LONGBOARD PHARMACEUTICALS IN | 54300N103 | COM | 596 | $10,000 | thousands by filing date | |
| VINCO VENTURES INC | 927330100 | COM | 3,942 | $10,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 1,719 | $10,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F770 | CONV | 200 | $10,000 | thousands by filing date | |
| CF ACQUISITION CORP IV | 12520T102 | COM | 1,009 | $10,000 | thousands by filing date | |
| HOLICITY INC | 435063201 | UNIT 08/05/2025 | 778 | $10,000 | thousands by filing date | |
| BIOMX INC | 09090D103 | COM | 1,410 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 416 | $10,000 | thousands by filing date | |
| GENIUS SPORTS LIMITED | 233277102 | SHARES CL A | 650 | $10,000 | thousands by filing date | |
| ROCKET INTERNET GRWT OPRT CO | G7613T111 | UNIT 99/99/9999 | 1,040 | $10,000 | thousands by filing date | |
| VPC IMPACT ACQUISITION HLDG | G9460L100 | UNIT 03/05/2026 | 1,051 | $10,000 | thousands by filing date | |
| HEALTH SCIENCES ACQ CORP 2 | G4411D109 | ORD SHS | 878 | $10,000 | thousands by filing date | |
| GOAL ACQUISITIONS CORP | 38021H206 | UNIT 99/99/9999 | 949 | $10,000 | thousands by filing date | |
| FORTE BIOSCIENCES INC | 34962G109 | COM | 300 | $10,000 | thousands by filing date | |
| BINAH CAP GROUP INC | 496861204 | BCG | 922 | $10,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 1,640 | $10,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 1,418 | $10,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 9,000 | $10,000 | thousands by filing date | principal |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 1,680 | $10,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 8,959 | $10,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771VAB4 | NOTE 1.500%10/0 | 10,000 | $10,000 | thousands by filing date | principal |
| REINVENT TECHNOLOGY PARTNERS | G74847107 | SHS CL A | 1,012 | $10,000 | thousands by filing date | |
| AKOUOS INC | 00973J101 | COM | 746 | $10,000 | thousands by filing date | |
| TURMERIC ACQUISITION CORP | G9127T108 | CMN | 975 | $10,000 | thousands by filing date | |
| Kubient Inc | 50116V115 | KUBIENT INC-CW25 | 3,158 | $10,000 | thousands by filing date | |
| BAOSHENG MEDIA GROUP HLDNG L | G08908108 | SHS | 1,740 | $10,000 | thousands by filing date | |
| GORES METROPOULOS II INC | 382873107 | CL A | 1,000 | $10,000 | thousands by filing date | |
| TWC TECH HLDGS II CORP | 90117G105 | COM | 1,034 | $10,000 | thousands by filing date | |
| VESPER HEALTHCARE ACQSTN COR | 92538T104 | COM CL A | 961 | $10,000 | thousands by filing date | |
| GREENPRO CAP CORP COM NEW | 39540F101 | Stock | 3,727 | $10,000 | thousands by filing date | |
| BRIDGETOWN 2 HOLDINGS LTD | G1355V103 | CL A | 1,019 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H508 | MUNI ALOCATN ETF | 400 | $10,000 | thousands by filing date | |
| SONNET BIOTHERAPEUTC HLDNG I | 83548R105 | COM | 4,389 | $10,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N808 | VICOTRYSHS EMG | 438 | $10,000 | thousands by filing date | |
| MDH ACQUISITION CORP | 55283P205 | UNIT 99/99/9999 | 1,004 | $10,000 | thousands by filing date | |
| TIGA ACQUISITION CORP | G88672103 | SHS CL A | 1,038 | $10,000 | thousands by filing date | |
| AVANTI ACQUISITION CORP UNIT | G0682V117 | Stock | 972 | $10,000 | thousands by filing date | |
| LEFTERIS ACQUISITION CORP UNIT EX | 52470X208 | Stock | 950 | $10,000 | thousands by filing date | |
| GORES TECHNOLOGY PARTNERS IN | 382870202 | UNIT 03/16/2028 | 986 | $10,000 | thousands by filing date | |
| MOTORSPORT GAMES INC | 62011B102 | COM CL A | 429 | $10,000 | thousands by filing date | |
| PRIMAVERA CAPITAL ACQUIST CO | G7255E125 | UNIT 01/19/2026 | 1,009 | $10,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| MCAP ACQUISITION CORP | 55282t208 | COM | 1,035 | $10,000 | thousands by filing date | |
| DMY TECHNOLOGY GROUP INC III | 233278118 | *W EXP 99/99/999 | 4,335 | $10,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 897 | $10,000 | thousands by filing date | |
| SC HEALTH CORP | G78516203 | COM CL A | 960 | $10,000 | thousands by filing date | |
| DRAGONEER GROWTH OPPORTUN CO | G28302118 | *W EXP 08/18/202 | 6,112 | $10,000 | thousands by filing date | |
| ATLAS CREST INVT CORP UNIT CL A & WT | 049284201 | Stock | 942 | $10,000 | thousands by filing date | |
| CF Finance Acquisition Corp III | 12529D207 | Unit | 951 | $10,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 2,100 | $10,000 | thousands by filing date | |
| HIGHCAPE CAP ACQUISITION COR | 42984L204 | UNIT 09/30/2027 | 799 | $10,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 100 | $9,000 | thousands by filing date | put |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 2,388 | $9,000 | thousands by filing date | |
| DESIGN THERAPEUTICS INC | 25056L103 | COM | 300 | $9,000 | thousands by filing date | |
| LUMEN TECHNOLOGIES INC | 550241103 | COM | 679 | $9,000 | thousands by filing date | put |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,000 | $9,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 1,500 | $9,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 2,381 | $9,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432342 | U S SM CP CORE | 262 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 122 | $9,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 1,687 | $9,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 881 | $9,000 | thousands by filing date | |
| BRAINSWAY LTD | 10501L106 | CMN | 1,026 | $9,000 | 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 |