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 |
|---|---|---|---|---|---|---|
| LISTED FDS TR | 53656F888 | SHARES SML CAP | 242 | $9,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 2,979 | $9,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,147 | $9,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 247 | $9,000 | thousands by filing date | |
| HUADI INTERNATIONAL GRP CO L | G4645E105 | SHS | 1,559 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 225 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P504 | INCOME EQT FOCUS | 213 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 308 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 460 | $9,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,571 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 10,000 | $9,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AU8 | NOTE 0.125%11/1 | 8,000 | $9,000 | thousands by filing date | principal |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 8,000 | $9,000 | thousands by filing date | principal |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 1,490 | $9,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 8,000 | $9,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 5,810 | $9,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678119 | *W EXP 09/29/202 | 7,232 | $9,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 1,116 | $9,000 | thousands by filing date | |
| CLENE INC | 185634102 | COM | 703 | $9,000 | thousands by filing date | |
| F-STAR THERAPEUTICS INC | 30315R107 | COM | 774 | $9,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 4,929 | $9,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 3,321 | $9,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 1,923 | $9,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 326 | $9,000 | thousands by filing date | |
| KUKE MUSIC HLDG LTD SPONSORED ADS | 501229108 | ADR | 1,249 | $9,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N121 | *W EXP 07/16/202 | 2,605 | $9,000 | thousands by filing date | |
| WISA TECHNOLOGIES INC | 86633R203 | COM NEW | 2,998 | $9,000 | thousands by filing date | |
| INTELLIGENT BIO SOLUTIONS IN | 36151G105 | COM | 1,536 | $9,000 | thousands by filing date | |
| KAIROS ACQUISITION CORP | G52110122 | UNIT 99/99/9999 | 930 | $9,000 | thousands by filing date | |
| AJAX I | G0190X126 | *W EXP 10/27/202 | 5,080 | $9,000 | thousands by filing date | |
| NORTHERN STAR INVEST CORP II | 66574L209 | UNIT 02/25/2028 | 899 | $9,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 295 | $9,000 | thousands by filing date | |
| EUROPEAN SUSTAINABLE GROWTH | G3194F125 | UNIT 01/18/2024 | 895 | $9,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 4,686 | $9,000 | thousands by filing date | |
| JOFF FINTECH ACQUISITION COR | 46592C209 | UNIT 02/03/2026 | 893 | $9,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379AA9 | NOTE | 9,000 | $9,000 | thousands by filing date | principal |
| PLANET GREEN HLDGS CORP | 72703U102 | COM | 4,185 | $9,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 2,736 | $9,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 4,491 | $9,000 | thousands by filing date | |
| NOVO INTEGRATED SCIENCES INC | 67011T201 | CMN | 2,537 | $9,000 | thousands by filing date | |
| POLISHED COM INC | 28252C109 | CMN | 977 | $9,000 | thousands by filing date | |
| PERIPHAS CAPITAL PARTNERING | 713895100 | CMN | 372 | $9,000 | thousands by filing date | |
| JOWELL GLOBAL LTD | G5194C101 | SHS | 1,179 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347G713 | ULTSHT FINLS NEW | 772 | $9,000 | thousands by filing date | |
| GALILEO ACQUISITION CORP | G3770A102 | SHS | 882 | $9,000 | thousands by filing date | |
| JUNIPER INDL HLDGS INC | 48205G114 | *W EXP 11/13/202 | 3,427 | $9,000 | thousands by filing date | |
| BROADSTONE ACQUISITION CORP | G1739V118 | UNIT 99/99/9999 | 922 | $9,000 | thousands by filing date | |
| TRITERRAS INC | G9103H110 | *W EXP 02/02/202 | 5,431 | $9,000 | thousands by filing date | |
| STABLE RD ACQUISITION CORP | 85236Q117 | *W EXP 05/15/202 | 2,105 | $9,000 | thousands by filing date | |
| ASTREA ACQUISITION CORP UNIT 012828 | 04637C205 | Stock | 903 | $9,000 | thousands by filing date | |
| ECP ENVIRONMENTAL GW OPT COR | 26829T209 | UNIT 03/01/2026 | 895 | $9,000 | thousands by filing date | |
| ATHLON ACQUISITION CORP | 04748A205 | UNIT 01/12/2026 | 907 | $9,000 | thousands by filing date | |
| AENZA S.A.A | 00776D103 | SPONSORED ADS | 3,817 | $9,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 873 | $9,000 | thousands by filing date | |
| CBM BANCORP INC | 1248XT104 | COM | 629 | $9,000 | thousands by filing date | |
| TAILWIND TWO ACQUISITION COR | G86613117 | UNIT 03/01/2028 | 880 | $9,000 | thousands by filing date | |
| BIG CYPRESS ACQUISITION CORP | 089115109 | COM | 866 | $9,000 | thousands by filing date | |
| YUCAIPA ACQ CRP; TNT ACQ DT; 8/4/2022; CASH: $10.00 | G9879L105 | COM | 910 | $9,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 1,436 | $9,000 | thousands by filing date | |
| PGIM ETF TR | 69344A602 | QMA STRGIC VAL | 135 | $9,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 10,725 | $9,000 | thousands by filing date | |
| NERDY INC CL A COM | G8990Y103 | Stock | 942 | $9,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC COM NE | 67424l209 | COM | 3,003 | $9,000 | thousands by filing date | |
| KISMET ACQUISITION ONE CORP | G52753103 | SHS | 926 | $9,000 | thousands by filing date | |
| PERIDOT ACQUISIT | G7008A123 | UNIT | 774 | $9,000 | thousands by filing date | |
| GOOD WORKS ACQUISITION CORP | 38216X115 | *W EXP 10/22/202 | 4,513 | $9,000 | thousands by filing date | |
| ION ACQUISITION CORP 1 LTD | G49392122 | UNIT 99/99/9999 | 906 | $9,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 183 | $8,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 99 | $8,000 | thousands by filing date | put |
| AGNC INVT CORP COM | 00123Q104 | REIT | 500 | $8,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 317 | $8,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 100 | $8,000 | thousands by filing date | put |
| INTERPUBLIC GROUP COS | 460690100 | COM | 269 | $8,000 | thousands by filing date | put |
| AMERICAN RES CORP | 02927U208 | CL A | 2,120 | $8,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 349 | $8,000 | thousands by filing date | |
| MYOMO INC | 62857J201 | COM NEW | 640 | $8,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 1,570 | $8,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 262 | $8,000 | thousands by filing date | |
| METALPHA TECHN HOLDING LTD | G28365107 | CMN | 4,783 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L207 | CMN | 355 | $8,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 871 | $8,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 1,537 | $8,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 554 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 348 | $8,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 615 | $8,000 | thousands by filing date | |
| NUVVE HOLDING CORP | 67079Y100 | COMMON STOCK | 726 | $8,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 863 | $8,000 | thousands by filing date | |
| VINE ENERGY INC CL A | 92735P103 | Stock | 599 | $8,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 2,112 | $8,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 925 | $8,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 2,211 | $8,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 1,197 | $8,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 189 | $8,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 2,757 | $8,000 | thousands by filing date | |
| ABCAM PLC | 000380204 | ADR USD | 433 | $8,000 | thousands by filing date | |
| BUTTERFLY NETWORK INC | 124155110 | *W EXP 02/12/202 | 1,259 | $8,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 8,000 | $8,000 | thousands by filing date | principal |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 2,043 | $8,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 9,000 | $8,000 | thousands by filing date | principal |
| INTRUSION INC COM NEW | 46121e205 | COM | 367 | $8,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 506 | $8,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 529 | $8,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 3,510 | $8,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 6,851 | $8,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 6,964 | $8,000 | thousands by filing date | |
| IBERE PHARMACEUTICALS | G46843127 | UNIT 99/99/9999 | 840 | $8,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W302 | COM NEW CL A | 310 | $8,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 839 | $8,000 | thousands by filing date | |
| CYREN LTD | M26895108 | SHS | 9,272 | $8,000 | thousands by filing date | |
| FUSION ACQUISITION CORP | 36118H204 | UNIT 99/99/9999 | 739 | $8,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 11,447 | $8,000 | thousands by filing date | |
| 180 LIFE SCIENCES CORP | 68236V104 | COM | 1,162 | $8,000 | thousands by filing date | |
| CONCORD ACQUISITION CORP | 206071102 | COM CL A | 820 | $8,000 | thousands by filing date | |
| Kintara Therapeutics, Inc. | 49720K101 | Equities | 4,687 | $8,000 | thousands by filing date | |
| Benitec Biopharma, Inc. | 08205P100 | common | 1,451 | $8,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 1,000 | $8,000 | thousands by filing date | |
| ATENTO S A | L0427L204 | CMN | 398 | $8,000 | thousands by filing date | |
| CRUCIBLE ACQUISITION CORP | 22877P108 | CMN | 747 | $8,000 | thousands by filing date | |
| 5 01 ACQUISITION CORP | 33836P105 | CMN | 801 | $8,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 6,089 | $8,000 | thousands by filing date | |
| DUDDELL STREET ACQUISITN COR | G28553108 | CMN | 772 | $8,000 | thousands by filing date | |
| INVO Bioscience, Inc. | 44984F302 | common | 2,013 | $8,000 | thousands by filing date | |
| MALACCA STRAITS ACQUISITION | G5859B117 | COM CL A | 858 | $8,000 | thousands by filing date | |
| Concord Acquisition Corp | 206071110 | *W EXP 11/28/202 | 8,822 | $8,000 | thousands by filing date | |
| InterPrivate II Acquisition Corp | 46064Q207 | Unit | 763 | $8,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 4,770 | $8,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 9,000 | $8,000 | thousands by filing date | principal |
| SUPERNOVA PARTNERS ACQUISITI | 86846V108 | COM CL A | 772 | $8,000 | thousands by filing date | |
| YUNHONG INTL | G98882114 | UNIT 99/99/9999 | 800 | $8,000 | thousands by filing date | |
| MOTION ACQUISITION CORP | 61980M206 | UNIT 10/14/2025 | 820 | $8,000 | thousands by filing date | |
| INDUSTRIAL TECH ACQU INC | 456357201 | UNIT 08/31/2025 | 715 | $8,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N114 | *W EXP 05/30/202 | 24,552 | $8,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G114 | *W EXP 07/02/202 | 5,564 | $8,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S124 | UNIT 99/99/9999 | 751 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 1,038 | $8,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 100 | $7,000 | thousands by filing date | put |
| NEWS CORP NEW CL A | 65249B109 | Stock | 269 | $7,000 | thousands by filing date | put |
| ALIGNMENT HEALTHCARE INC COM | 01625V104 | Stock | 310 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 105 | $7,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 405 | $7,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 199 | $7,000 | thousands by filing date | put |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 2,340 | $7,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 237 | $7,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 575 | $7,000 | thousands by filing date | |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 1,817 | $7,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONALMULTIFACTOR FUND | 97717Y774 | ETF | 291 | $7,000 | thousands by filing date | |
| UNIFIED SER TR | 90470L568 | ABSLUTE SELCT VL | 263 | $7,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 643 | $7,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 1,520 | $7,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 1,760 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y269 | NASDQ 100 CVRDGW | 229 | $7,000 | thousands by filing date | |
| SIMPLIFY EXCHANGE TRADED FUN | 82889N202 | US EQT PLS DWNSD | 244 | $7,000 | thousands by filing date | |
| IHUMAN INC | 45175B109 | CMN | 549 | $7,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 246 | $7,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 1,814 | $7,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,000 | $7,000 | thousands by filing date | |
| MEDIACO HLDG INC | 58450D104 | CL A | 2,074 | $7,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 984 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347G507 | RUSSELL US DIV | 161 | $7,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 1,546 | $7,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 667 | $7,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 342 | $7,000 | thousands by filing date | |
| LIBERTY MEDIA ACQUISTION CORP | 53073L104 | COMMON STOCK | 646 | $7,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 689 | $7,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U117 | *W EXP 01/01/202 | 1,752 | $7,000 | thousands by filing date | |
| PURETECH HEALTH PLC | 746237106 | ADS | 129 | $7,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AU3 | NOTE 2.000% 2/1 | 6,000 | $7,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AJ4 | NOTE 0.375% 3/1 | 7,000 | $7,000 | thousands by filing date | principal |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 6,000 | $7,000 | thousands by filing date | principal |
| AYRO INC | 054748108 | COM | 1,017 | $7,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 5,194 | $7,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 1,296 | $7,000 | thousands by filing date | |
| INTERDIGITAL INC | 45867GAB7 | BOND | 7,000 | $7,000 | thousands by filing date | principal |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 2,500 | $7,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,245 | $7,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 831 | $7,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167164 | *W EXP 02/09/202 | 350 | $7,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 2,750 | $7,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 1,097 | $7,000 | thousands by filing date | |
| LDH GROWTH CORP I | G54094118 | UNIT 03/17/2026 | 665 | $7,000 | thousands by filing date | |
| NORTHERN STAR INVSTMNT CORP | 66573W206 | UNIT 01/31/2028 | 646 | $7,000 | thousands by filing date | |
| AURORA ACQUISITION CORP | G0698L111 | UNIT 03/02/2026 | 703 | $7,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P110 | SHS NEW | 898 | $7,000 | thousands by filing date | |
| RMG ACQUISITION CORP II | G76083115 | UNIT 12/09/2025 | 669 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G872 | DAILY TECHNOLOGY | 1,000 | $7,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q870 | COM | 1,115 | $7,000 | thousands by filing date | |
| GORES HLDGS V INC | 382864106 | COM CL A | 742 | $7,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D132 | RIGHT 02/24/2027 | 22,917 | $7,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 6,000 | $7,000 | thousands by filing date | principal |
| GS ACQUISITION HLDGS CORP II | 36258Q113 | *W EXP 06/30/202 | 3,052 | $7,000 | thousands by filing date | |
| ATLAS CREST INVESTMENT CORP | 049287204 | UNIT 99/99/9999 | 727 | $7,000 | thousands by filing date | |
| TPG PACE TECH OPPORTUNITIES | G8990Y129 | *W EXP 10/09/202 | 5,131 | $7,000 | thousands by filing date | |
| TEKKORP DIGITAL ACQUISITN CO | G8739H122 | UNIT 09/29/2027 | 681 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745T368 | ETF | 435 | $7,000 | thousands by filing date | |
| METEN HOLDING GROUP LTD | G6055H114 | ORD SHS | 2,802 | $7,000 | thousands by filing date | |
| ADVANCED MERGER PARTNERS INC UNIT EX 063026 | 00777J208 | Stock | 725 | $7,000 | thousands by filing date | |
| NUZEE INC | 67073S208 | COM NEW | 1,898 | $7,000 | thousands by filing date | |
| CHP MERGER CORP | 12558Y205 | UNIT 11/22/2024 | 673 | $7,000 | thousands by filing date | |
| GLOBAL BETA ETF TR | 37959X209 | LOW BETA ETF | 301 | $7,000 | thousands by filing date | |
| SHAPEWAYS HOLDIN | G3770A110 | EQUITY WRT | 13,067 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A677 | NATIONWIDE ETF | 199 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347G853 | ULSHRT TECH NEW | 544 | $7,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 4,901 | $7,000 | thousands by filing date | |
| DD3 ACQUISITION CORP II | 23318M100 | COM CL A | 716 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 256 | $7,000 | thousands by filing date | |
| PAYA HOLDINGS INC | 70434P111 | *W EXP 10/16/202 | 2,133 | $7,000 | thousands by filing date | |
| PGIM ETF TR | 69344A503 | QMA STRGC GWTH | 94 | $7,000 | thousands by filing date | |
| REVOLUTION ACCELERTN | 76156P114 | *W EXP 12/01/202 | 3,683 | $7,000 | thousands by filing date | |
| RICE ACQUISITION CORP | 762594208 | UNIT 99/99/9999 | 645 | $7,000 | thousands by filing date | |
| LIANLUO SMART LTD | G5478K118 | COM CL A NEW | 846 | $7,000 | thousands by filing date | |
| NORTHERN STAR ACQUISITION CO | 665742110 | *W EXP 08/29/202 | 2,320 | $7,000 | thousands by filing date | |
| CASTOR MARITIME INC | Y1146L109 | SHS | 8,872 | $7,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 3,323 | $7,000 | thousands by filing date | |
| VINCERX PHARMA INC | 92731L205 | UNIT 12/24/2025 | 260 | $7,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085206 | UNIT 12/31/2026 | 496 | $7,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482202 | UNIT 11/20/2022 | 155 | $7,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 825 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 130 | $6,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 100 | $6,000 | thousands by filing date | put |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 2,378 | $6,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION COM | 165167735 | Stock | 138 | $6,000 | thousands by filing date | |
| COURSERA INC COM | 22266M104 | Stock | 134 | $6,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F722 | FT VEST US EQT | 160 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 92 | $6,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F207 | COM NEW | 876 | $6,000 | thousands by filing date | |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 300 | $6,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 306 | $6,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 334 | $6,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 771 | $6,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 316 | $6,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 300 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 143 | $6,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 425 | $6,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 553 | $6,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527109 | SHS | 1,614 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 200 | $6,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 1,714 | $6,000 | thousands by filing date | |
| BIODESIX INC | 09075X108 | COM | 300 | $6,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767645 | VALU LINE DY ETF | 282 | $6,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 2,014 | $6,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C201 | COMMON STOCK-FO | 1,904 | $6,000 | thousands by filing date | |
| LISTED FD TR | 53656F714 | TRUESHARES STRUC | 189 | $6,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082AA8 | NOTE 1.500% 2/1 | 5,000 | $6,000 | thousands by filing date | principal |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 1,000 | $6,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 5,000 | $6,000 | thousands by filing date | principal |
| PROOFPOINT INC | 743424AF0 | NOTE 0.250% 8/1 | 6,000 | $6,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 4,000 | $6,000 | thousands by filing date | principal |
| NOVA LIFESTYLE INC | 66979P201 | COM | 1,768 | $6,000 | thousands by filing date | |
| LION GROUP HOLDING LTD | 53620U102 | ADR | 1,304 | $6,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 1,942 | $6,000 | thousands by filing date | |
| DRAGONEER GROWTH OPPTY CORP | G28314105 | SHS CL A | 589 | $6,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,856 | $6,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 534 | $6,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 550 | $6,000 | thousands by filing date | |
| EVIVA PHARMACEUTCLS HLDGS I | 76152G118 | *W EXP 12/25/202 | 12,457 | $6,000 | thousands by filing date | |
| LIXTE BIOTECHNOLOGY HLDGS IN | 539319111 | *W EXP 11/30/202 | 7,179 | $6,000 | thousands by filing date | |
| CYCLO THERAPEUTICS INC | 23254X201 | Common Stock | 698 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 666 | $6,000 | thousands by filing date | |
| NULL | 301505749 | NULL | 195 | $6,000 | thousands by filing date | |
| HPX CORP | G32219118 | UNIT 99/99/9999 | 549 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $6,000 | thousands by filing date | principal |
| IG ACQUISITION CORP | 449534205 | UNIT 10/05/2027 | 551 | $6,000 | thousands by filing date | |
| OBLONG INC | 674434105 | COM | 1,192 | $6,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 2,067 | $6,000 | thousands by filing date | |
| CATCHA INVESTMENT CORP | G1962Y128 | UNIT 99/99/9999 | 593 | $6,000 | thousands by filing date | |
| ADARA ACQUISITION CORP | 00653H201 | UNIT 99/99/9999 | 640 | $6,000 | thousands by filing date | |
| PHOENIX TREE HOLDINGS LTD | 719156101 | COM | 2,352 | $6,000 | thousands by filing date | |
| ADIT EDTECH ACQUISITION CORP | 007024102 | COMMON STOCK | 634 | $6,000 | thousands by filing date | |
| BLUESCAPE OPPORTUNITIES ACQU | G1195N113 | *W EXP 10/28/202 | 3,822 | $6,000 | thousands by filing date | |
| EUCRATES BIOMEDICAL ACQU COR | G3141W122 | *W EXP 10/23/202 | 5,133 | $6,000 | thousands by filing date | |
| INTERPRIVATE IV INFRATECH PR | 46064T201 | UNIT 03/05/2026 | 567 | $6,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 7,000 | $6,000 | thousands by filing date | principal |
| NXT-ID INC | 67091J206 | COM NEW | 4,180 | $6,000 | thousands by filing date | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 1,031 | $6,000 | thousands by filing date | |
| DATASEA INC | 238116206 | COM NEW | 1,796 | $6,000 | thousands by filing date | |
| VY GLOBAL GROWTH | G9444H100 | CMN | 613 | $6,000 | thousands by filing date | |
| SARISSA CAPITAL ACQUISITN CO | G7823W102 | CMN | 578 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y517 | MSCI CHINA UTL | 347 | $6,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 954 | $6,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 4,174 | $6,000 | thousands by filing date | |
| TOUGHBUILT INDS INC | 89157G116 | *W EXP 11/14/202 | 25,656 | $6,000 | thousands by filing date | |
| ARRIVAL GROUP | L0423Q116 | *W EXP 03/24/202 | 1,038 | $6,000 | thousands by filing date | |
| TRXADE HEALTH INC | 89846A207 | COM NEW | 1,160 | $6,000 | thousands by filing date | |
| E MERGE TECHNOLOGY ACQUISITI | 26873Y112 | *W EXP 07/30/202 | 6,689 | $6,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G117 | *W EXP 03/05/202 | 920 | $6,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 5,300 | $6,000 | thousands by filing date | |
| H I G ACQUISITION CORP UNIT | G44898115 | Stock | 557 | $6,000 | thousands by filing date | |
| Natural Order Acquisition Corp | 63889L206 | Equity | 547 | $6,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 2,142 | $6,000 | thousands by filing date | |
| MOTION ACQUISITION CORP | 61980M107 | CMN | 641 | $6,000 | thousands by filing date | |
| NEWHOLD INVESTMENT CORP | 651448110 | *W EXP 03/10/202 | 3,502 | $6,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L114 | *W EXP 08/02/202 | 887 | $6,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITI | 74348Q116 | *W EXP 03/20/202 | 2,409 | $6,000 | thousands by filing date | |
| MOXIAN INC | 624697306 | COM | 1,255 | $6,000 | thousands by filing date | |
| DEERFIELD HEALTHCARE TECH AC | 244413100 | COM CL A | 469 | $6,000 | thousands by filing date | |
| ARTIUS ACQUISITION INC | 04316G204 | UNIT 99/99/9999 | 517 | $6,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G205 | UNIT 99/99/9999 | 579 | $6,000 | thousands by filing date | |
| EYEPOINT INC COM NEW | 30233G209 | Stock | 501 | $5,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 4,431 | $5,000 | thousands by filing date | |
| CANOO INC | 13803R102 | COM CL A | 600 | $5,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 483 | $5,000 | thousands by filing date | |
| VanEck Vectors Energy Inc | 92189H870 | ENERGY INCOME | 96 | $5,000 | thousands by filing date | |
| KLX ENERGY SERVICES HOLDINGS | 48253L205 | COM NEW | 331 | $5,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W405 | COM | 2,342 | $5,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 936 | $5,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 991 | $5,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 696 | $5,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 300 | $5,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F573 | FT VEST INTER EQ | 250 | $5,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092535 | INTL MULTIFACTOR | 181 | $5,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 342 | $5,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 352 | $5,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 2,088 | $5,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 767 | $5,000 | thousands by filing date | |
| ADAGENE INC | 005329107 | CMN | 277 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 179 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST MOODYS ANLTCS | 92189h862 | INDX FD | 199 | $5,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 277 | $5,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 360 | $5,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 1,302 | $5,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 1,202 | $5,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 1,960 | $5,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 1,140 | $5,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 434 | $5,000 | thousands by filing date | |
| VIZIO HOLDING CORP | 92858V101 | COMMON STOCK | 208 | $5,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y300 | ADR NEW | 366 | $5,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 1,498 | $5,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167180 | *W EXP 02/09/202 | 272 | $5,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 765 | $5,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 1,000 | $5,000 | thousands by filing date | principal |
| BM TECHNOLOGIES INC | 05591L107 | COM | 406 | $5,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 1,000 | $5,000 | thousands by filing date | put |
| ENVESTNET INC | 29404KAB2 | BOND | 4,000 | $5,000 | thousands by filing date | principal |
| VITRU LTD | G9440D103 | COM | 359 | $5,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 590 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 191 | $5,000 | thousands by filing date | |
| Northern Star Investment Corp II | 66573W115 | Warrant | 3,810 | $5,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 2,686 | $5,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 2,165 | $5,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 2,590 | $5,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 2,000 | $5,000 | thousands by filing date | |
| SCION TECH GROWTH I | G31067112 | *W EXP 11/01/202 | 5,236 | $5,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 1,053 | $5,000 | thousands by filing date | |
| DIAMONDHEAD HOLDINGS CORP | 25278L204 | UNIT 01/21/2026 | 454 | $5,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A770 | SELECT GROWT ETF | 400 | $5,000 | thousands by filing date | |
| MERCURITY FINTECH HOLDING IN | 58936H109 | SPONSORED ADS | 782 | $5,000 | thousands by filing date | |
| BUILD ACQUISITION CORP | 12008J204 | UNIT 99/99/9999 | 506 | $5,000 | thousands by filing date | |
| MIND TECHNOLOGY INC COM NEW | 602566101 | Stock | 2,000 | $5,000 | thousands by filing date | |
| PYROGENESIS CDA INC | 74734T104 | COM | 792 | $5,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 1,785 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A586 | AAM S&P EMRG | 213 | $5,000 | thousands by filing date | |
| VISION MARINE TECHNOLOGIES I | C96657116 | COM | 600 | $5,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 8,802 | $5,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 598 | $5,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 1,059 | $5,000 | thousands by filing date | |
| SUSTAINABLE OPPORTNTS ACQ CO | G8598Y117 | W EXP 99/99/999 | 5,269 | $5,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP II | G89554102 | COM CL A | 500 | $5,000 | thousands by filing date | |
| FOREST ROAD ACQUISITION CORP | 34619R102 | COM | 485 | $5,000 | thousands by filing date | |
| DIREXION WORLD WITHOUT | 25460G641 | WASTE ETF | 196 | $5,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G114 | WTS | 3,000 | $5,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 3,376 | $5,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M114 | *W EXP 11/07/202 | 4,299 | $5,000 | thousands by filing date | |
| HIGHPOINT RESOURCES CORP COM | 43114K207 | Stock | 908 | $5,000 | thousands by filing date | |
| ONE | G7000X121 | *W EXP 08/17/202 | 1,923 | $5,000 | thousands by filing date | |
| MONTES ARCHIMEDES ACQUISITIO | 612657106 | COM CL A | 502 | $5,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP III | 12529D116 | *W EXP 09/30/202 | 3,382 | $5,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVT CORP | 443761119 | *W EXP 06/21/202 | 3,710 | $5,000 | thousands by filing date | |
| AERSALE CORPORATION | 00810F114 | *W EXP 12/22/202 | 2,446 | $5,000 | thousands by filing date | |
| ARCLIGHT CLEAN TRANSITION CO | G04561117 | UNIT 09/21/2025 | 243 | $5,000 | thousands by filing date | |
| JOBY AVIATION IN | G7483N103 | EQUITY WRT | 2,275 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 148 | $5,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 4,850 | $5,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 3,518 | $5,000 | thousands by filing date | |
| YUMANITY THERAPEUTICS INC | 98872L102 | COM | 290 | $5,000 | thousands by filing date | |
| LFTRW US 23 Oct 25 C11.5 | 52470X117 | *W EXP 10/23/202 | 4,565 | $5,000 | thousands by filing date | |
| INPIXON | 45790J800 | COM | 3,797 | $5,000 | thousands by filing date | |
| GLASS HOUSES ACQUISITION COR | 37714P202 | UNIT 03/25/2028 | 500 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 196 | $5,000 | thousands by filing date | |
| 4D PHARMA PLC | 35085K117 | *W EXP 03/22/202 | 4,845 | $5,000 | thousands by filing date | |
| MMTEC INC | G6181K106 | SHS | 1,763 | $5,000 | thousands by filing date | |
| THAYER VENTURES ACQU CORP | 88332T100 | COM CL A | 529 | $5,000 | thousands by filing date | |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 122,548 | $5,000 | thousands by filing date | |
| THAYER VENTURES ACQU CORP | 88332T209 | UNIT 01/01/2030 | 537 | $5,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 3,442 | $5,000 | thousands by filing date | |
| DFP HEALTHCARE ACQUISITNS CO | 23343Q209 | UNIT 03/31/2025 | 480 | $5,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W105 | *W EXP 12/21/202 | 17,722 | $5,000 | thousands by filing date | |
| EMPOWER LTD | G3R39W110 | *W EXP 11/30/202 | 3,942 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| QELL ACQUISITION CORP | G7307X121 | UNIT 10/01/2025 | 505 | $5,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISTN COR | 34431F203 | UNIT 99/99/9999 | 454 | $5,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP III | G04415108 | SHS | 517 | $5,000 | thousands by filing date | |
| TUSCAN HLDGS CORP | 90069K112 | *W EXP 04/01/202 | 1,434 | $5,000 | thousands by filing date | |
| CHARDAN HEALTHCR ACQSTN 2 CO | 15957T115 | *W EXP 03/05/202 | 5,434 | $5,000 | thousands by filing date | |
| LIV CAP ACQUISITION CORP | G5510C108 | CL A | 545 | $5,000 | thousands by filing date | |
| ASCENDANT DIGITAL ACQUISITIO | G05155117 | *W EXP 07/28/202 | 5,242 | $5,000 | thousands by filing date | |
| ALUSSA ENERGY ACQUISITION CO | G0232J127 | UNIT 10/31/2026 | 474 | $5,000 | thousands by filing date | |
| VINCERX PHARMA INC | 92731L114 | *W EXP 12/24/202 | 1,227 | $5,000 | thousands by filing date | |
| TUSCAN HOLDINGS CORP | 90069K203 | UNIT 99/99/9999 | 297 | $5,000 | thousands by filing date | |
| ACIES ACQUISITION CORP | G0103T121 | UNIT 11/30/2027 | 487 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347G697 | ULTPRO SHT | 609 | $5,000 | thousands by filing date | |
| FOX CORP | 35137L204 | CL B COM | 106 | $4,000 | thousands by filing date | put |
| PATRIA INVESTMENTS LIMITED | G69451105 | COM CL A | 230 | $4,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 120 | $4,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 587 | $4,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 410 | $4,000 | thousands by filing date | |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 211 | $4,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 103 | $4,000 | thousands by filing date | |
| VALHI INC | 918905209 | COMMON STOCK | 197 | $4,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984V209 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| ADC THERAPEUTICS SA | H0036K147 | COMMON STOCK | 157 | $4,000 | thousands by filing date | |
| REZOLUTE INC | 76200L309 | COMMON STOCK | 584 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138J676 | BULLETSHS 2026 | 136 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 5,000 | $4,000 | thousands by filing date | principal |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 284 | $4,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 666 | $4,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 341 | $4,000 | thousands by filing date | |
| AKSO HEALTH GROUP | 98422P108 | ADS | 2,458 | $4,000 | thousands by filing date | |
| WTS/PMV CONSUMER ACQUISITION C EXP08/31/2027 | 693486110 | WARR | 4,747 | $4,000 | thousands by filing date | |
| YELLOW CORP | 985510106 | COM | 423 | $4,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 2,256 | $4,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 335 | $4,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 1,699 | $4,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 100 | $4,000 | thousands by filing date | call |
| OTONOMY INC | 68906L105 | COM | 1,624 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 229 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 136 | $4,000 | thousands by filing date | |
| UWM HOLDINGS CORPORATION | 91823B117 | *W EXP 01/21/202 | 1,997 | $4,000 | thousands by filing date | |
| ELYS GAME TECHNOLOGY CORP | 290734102 | COM | 739 | $4,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 429 | $4,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 198 | $4,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 369 | $4,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LIMITED NEW SPONSRD ADR | 37185R307 | NEW SPONSRD ADR | 997 | $4,000 | thousands by filing date | |
| COMSTOCK INC | 205750300 | COM NEW | 793 | $4,000 | thousands by filing date | |
| FORTRESS VALUE ACQUIS CORP I | 34964G107 | COM CL A | 389 | $4,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019119 | *W EXP 08/31/202 | 3,988 | $4,000 | thousands by filing date | |
| LEO HLDGS CORP II | G5463R128 | *W EXP 01/07/202 | 5,023 | $4,000 | thousands by filing date | |
| PINE TECHNOLOGY ACQUISITN CO | 722850203 | UNIT 03/31/2028 | 410 | $4,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505756 | INNOVATION SHS | 113 | $4,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 3,364 | $4,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A796 | FOCUSED DISCOVRY | 366 | $4,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A812 | US LARGE CAP CRE | 279 | $4,000 | thousands by filing date | |
| LEAD EDGE GROWTH OPRTUNTS LT | G54085124 | UNIT 04/01/2026 | 397 | $4,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 3,585 | $4,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 2,017 | $4,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R174 | *W EXP 11/14/202 | 10,224 | $4,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 361 | $4,000 | thousands by filing date | |
| CYCLO THERAPEUTICS INC | 23254X110 | *W EXP 12/11/202 | 993 | $4,000 | thousands by filing date | |
| CRUCIBLE ACQUISITION CORP | 22877P207 | UNIT 12/26/2025 | 372 | $4,000 | thousands by filing date | |
| SPARTAN ACQUISITION CORP III | 84677R205 | UNIT 99/99/9999 | 427 | $4,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 526 | $4,000 | thousands by filing date | |
| OLB Group Inc | 67086U307 | COM | 778 | $4,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 2,270 | $4,000 | thousands by filing date | |
| MONOPAR THERAPEUTICS INC | 61023L108 | COM | 571 | $4,000 | thousands by filing date | |
| QILIAN INTL HLDG GROUP LTD | G7307E107 | COM | 771 | $4,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 2,250 | $4,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 3,453 | $4,000 | thousands by filing date | |
| NORTHERN GENESIS ACQUISITION | 66516T203 | UNIT 07/31/2027 | 225 | $4,000 | thousands by filing date | |
| NEXTGEN ACQUISITION CORP | G65305115 | UNIT 11/26/2020 | 392 | $4,000 | thousands by filing date | |
| SYNTAX ETF TR | 87166N106 | STRATIFD LRG CAP | 57 | $4,000 | thousands by filing date | |
| AMTD IDEA GROUP | 00180G106 | SPONSORED ADS | 577 | $4,000 | thousands by filing date | |
| JIYA ACQUISITION CORP | 47760M102 | CMN | 441 | $4,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J204 | SPONSORED ADS NEW | 599 | $4,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 592 | $4,000 | thousands by filing date | |
| KALEYRA INC | 483379111 | *W EXP 11/25/202 | 997 | $4,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 129 | $4,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 830 | $4,000 | thousands by filing date | |
| POPULATION HEALTH INVS CO IN | G71716115 | *W EXP 10/01/202 | 3,650 | $4,000 | thousands by filing date | |
| SILVERBOX ENGAGED MERGER CO | 82836L200 | UNIT 03/31/2028 | 397 | $4,000 | thousands by filing date | |
| LIVE OAK ACQUISITION CORP II | 53804W114 | *W EXP 12/07/202 | 3,063 | $4,000 | thousands by filing date | |
| PERIDOT ACQUISITION CORP | G7008A107 | *W EXP 11/30/202 | 2,207 | $4,000 | thousands by filing date | |
| D8 HOLDINGS CORP | G2614K128 | *W EXP 08/05/202 | 3,675 | $4,000 | thousands by filing date | |
| FUSION ACQUISITION CORP | 36118H113 | *W EXP 06/01/202 | 3,159 | $4,000 | thousands by filing date | |
| CENTRICUS ACQUISITION CORP | G2072Q112 | UNIT 02/08/2028 | 380 | $4,000 | thousands by filing date | |
| TPG PACE BEN FIN CORP | G8990D117 | *W EXP 10/09/202 | 518 | $4,000 | thousands by filing date | |
| FTAC OLYMPUS ACQUISITION COR | G37288126 | *W EXP 08/28/202 | 1,789 | $4,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVT CORP | 443761200 | UNIT 06/21/2025 | 401 | $4,000 | thousands by filing date | |
| STRATIM CLOUD ACQUISITION CO | 86309R206 | UNIT 03/05/2026 | 350 | $4,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 2,097 | $4,000 | thousands by filing date | |
| SIMPLIFY EXCHANGE TRADED FUN | 82889N400 | NASDAQ 100 CNVX | 154 | $4,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 2,178 | $4,000 | thousands by filing date | |
| VYANT BIO INC | 92942V109 | COM | 815 | $4,000 | thousands by filing date | |
| BULL HORN HLDGS CORP | G1686P114 | UNIT 10/13/2025 | 412 | $4,000 | thousands by filing date | |
| UCOMMUNE INTERNATIONAL LTD | G9449A100 | COM | 1,311 | $4,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 1,021 | $4,000 | thousands by filing date | |
| BROOKLINE CAP ACQUISITION CO | 11374E112 | *W EXP 08/31/202 | 2,084 | $4,000 | thousands by filing date | |
| OMNICHANNEL ACQUISITION CORP | 68218L116 | *W EXP 12/30/202 | 5,211 | $4,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 3,166 | $4,000 | thousands by filing date | |
| INVESTINDUSTRIAL ACQUISITION | G4771L113 | *W EXP 10/30/202 | 4,864 | $4,000 | thousands by filing date | |
| ION ACQUISITION CORP 1 LTD | G49392114 | *W EXP 10/05/202 | 1,929 | $4,000 | thousands by filing date | |
| ISHARES TR | 46436E791 | FACTORS US | 97 | $4,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L698 | TREND AGRGATN | 146 | $4,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP III | G04415116 | UNIT 09/24/2020 | 316 | $4,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C208 | UNIT 09/01/2026 | 348 | $4,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A405 | SEIX SR LN ETF | 139 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 48 | $3,000 | thousands by filing date | |
| Sun Country Airlines Holding | 866683105 | COM | 100 | $3,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F862 | FT VEST US EQT | 71 | $3,000 | 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 |