13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 9,744 holding rows worth $317,590,305,000.
- Accession
- 0000950123-21-015152
- Filer
- CIK 1610520
- Filed
- 2021-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A combination report, 18,647 entries on the cover page, a total value of $317,590,305,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $317,590,305,000 with VALUE read as thousands by filing date, 13F file number 028-16612. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerUBS ASSET MANAGEMENT (AMERICAS) INC 028-02682
- reports for this filerUBS OCONNOR LLC 028-06327
- included managerUBS Financial Services Inc 028-11496
- included managerUBS Swiss Financial Advisors AG 028-11603
- included managerUBS AG 028-10396
- included managerUBS Switzerland AG
- included managerUBS Securities Japan Co., Ltd
- included managerUBS Europe SE
- included managerUBS Bank (Canada)
- included managerUBS La Maison de Gestion
- included managerUBS Securities LLC
- included managerUBS Gestion SGIIC, SA
- included managerUBS Consenso Investimentos Ltda.
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 |
|---|---|---|---|---|---|---|
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 929 | $10,000 | thousands by filing date | |
| NORTHERN LTS FD TR II | 66538F231 | ONE GLOBAL ETF | 421 | $10,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 1,706 | $10,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,206 | $10,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y479 | ETFs | 291 | $10,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 199 | $10,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 23,854 | $10,000 | thousands by filing date | |
| CF ACQUISITION CORP VI | 12521J103 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 4,401 | $10,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U117 | *W EXP 01/01/202 | 1,752 | $10,000 | thousands by filing date | |
| OPTHEA LTD | 68386J208 | SPONSORED ADS | 1,240 | $10,000 | thousands by filing date | |
| INNOVIZ TECHNOLOGIES LTD | M5R635116 | *W EXP 04/05/202 | 5,925 | $10,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 10,000 | $10,000 | thousands by filing date | principal |
| XCEL BRANDS INC | 98400M101 | COM NEW | 6,427 | $10,000 | thousands by filing date | |
| BUTTERFLY NETWORK INC | 124155110 | *W EXP 02/12/202 | 3,481 | $10,000 | thousands by filing date | |
| PORTAGE BIOTECH INC | G7185A128 | COM | 515 | $10,000 | thousands by filing date | |
| DIAMONDHEAD HOLDINGS CORP | 25278L105 | COM | 996 | $10,000 | thousands by filing date | |
| KAIROS ACQUISITION CORP | G52110114 | COM | 1,057 | $10,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP VI | 17143W101 | COM | 1,034 | $10,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC | 40145Q401 | COM | 7,697 | $10,000 | thousands by filing date | |
| GLOBAL PARTNER ACQISTN CORP | G3934P102 | COM | 1,045 | $10,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 5,453 | $10,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 405 | $10,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 2,388 | $10,000 | thousands by filing date | |
| BRIACELL THERAPEUTICS CORP | 10778Y112 | *W EXP 02/26/202 | 2,082 | $10,000 | thousands by filing date | |
| PASITHEA THERAPEUTICS CORP COM NEW | 70261F103 | Stock | 3,290 | $10,000 | thousands by filing date | |
| ARDAGH METAL PACKAGING S A | L02235114 | *W EXP 08/04/202 | 4,541 | $10,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W671 | CONSUMER STPLS | 309 | $10,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U121 | *W EXP 09/30/202 | 8,260 | $10,000 | thousands by filing date | |
| LEO HLDGS CORP II | G5463R110 | UNIT 99/99/9999 | 1,040 | $10,000 | thousands by filing date | |
| MACONDRAY CAP ACQUISITN CORP | G5853A123 | UNIT 05/31/2028 | 973 | $10,000 | thousands by filing date | |
| PROTAGENIC THERAPEUTICS INC | 74365N103 | COM | 5,239 | $10,000 | thousands by filing date | |
| ACON S2 ACQUISITION CORP | G00748114 | *W EXP 09/15/202 | 7,771 | $10,000 | thousands by filing date | |
| NEWBURY STREET ACQUISITN COR | 65101L203 | UNIT 04/30/2028 | 970 | $10,000 | thousands by filing date | |
| GLOBAL PARTNER ACQISTN CORP | G3934P110 | UNIT 01/06/2026 | 1,052 | $10,000 | thousands by filing date | |
| VIEW INC | 92671V114 | *W EXP 03/08/202 | 10,950 | $10,000 | thousands by filing date | |
| ALTITUDE ACQUISITION CORP | 02156Y103 | COM CL A | 1,000 | $10,000 | thousands by filing date | |
| ANZU SPECIAL ACQUISITIN CORP | 03737A200 | UNIT 01/27/2026 | 1,041 | $10,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 350 | $10,000 | thousands by filing date | |
| DIREXION DAILY REAL ESTATE BEAR 3X SHARES | 25460E141 | ETF | 1,991 | $10,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L888 | MERLYN AI BEST | 398 | $10,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P125 | W EXP 10/12/202 | 30,921 | $10,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITN CORP | G31658100 | CLASS A ORD SHS | 1,050 | $10,000 | thousands by filing date | |
| PLANET GREEN HLDGS CORP | 72703U102 | COM | 7,738 | $10,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 662 | $10,000 | thousands by filing date | |
| Zivo Bioscience Inc | 98978N200 | COM | 2,113 | $10,000 | thousands by filing date | |
| INNOVATOR ETFS TR | 45782C177 | DOUBLE STKR JAN | 339 | $10,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q113 | *W EXP 06/30/202 | 4,715 | $10,000 | thousands by filing date | |
| SEQLL INC | 81734C106 | COM | 2,711 | $10,000 | thousands by filing date | |
| STRATIM CLOUD ACQUISITION CO | 86309R206 | UNIT 03/05/2026 | 1,024 | $10,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 6,931 | $10,000 | thousands by filing date | |
| BRIDGETOWN 2 HOLDINGS LTD | G1355V103 | CL A | 1,052 | $10,000 | thousands by filing date | |
| RIBBIT LEAP LTD | G7552B121 | UNIT 99/99/9999 | 930 | $10,000 | thousands by filing date | |
| JAWS JUGGERNAUT ACQUISITN CO | G50735128 | UNIT 06/17/2026 | 979 | $10,000 | thousands by filing date | |
| BIT MINING LIMITED | 055474100 | SPON ADR REP A | 1,243 | $10,000 | thousands by filing date | |
| PROGRESS ACQUISITION CORP | 74327P204 | UNIT 12/25/2025 | 958 | $10,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 517 | $10,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISITIN IV | 34964K207 | UNIT 03/31/2028 | 1,030 | $10,000 | thousands by filing date | |
| GIGINTERNATIONAL1 INC UNIT EX 051926 | 37518W205 | Stock | 977 | $10,000 | thousands by filing date | |
| LMF ACQUISITION OPPORTUNITIES, INC. | 502015209 | COM | 978 | $10,000 | thousands by filing date | |
| AGBA ACQUISITION LTD | G0120M133 | UNIT 05/10/2024 | 899 | $10,000 | thousands by filing date | |
| IGNYTE ACQUISITION CORP | 45175H205 | UNIT 01/05/2026 | 1,015 | $10,000 | thousands by filing date | |
| MUDRICK CAPITAL ACQU CORP II | 62477L206 | UNIT 99/99/9999 | 1,039 | $10,000 | thousands by filing date | |
| CHP MERGER CORP | 12558Y205 | UNIT 11/22/2024 | 972 | $10,000 | thousands by filing date | |
| SENTAGE HOLDINGS INC | G8062B106 | ORD SHS | 4,628 | $10,000 | thousands by filing date | |
| FAST ACQUISITION CORP | 311875116 | W EXP 08/25/202 | 1,721 | $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 |
| ENOVIX CORPORATION | 293594115 | *W EXP 11/30/202 | 1,094 | $10,000 | thousands by filing date | |
| INVESTINDUSTRIAL ACQUISITION | G4771L105 | CMN | 1,025 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 500 | $10,000 | thousands by filing date | |
| 890 5TH AVE PARTNERS INC | 28250A204 | UNIT 01/12/2026 | 985 | $10,000 | thousands by filing date | |
| MOTION ACQUISITION CORP | 61980M206 | UNIT 10/14/2025 | 976 | $10,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L209 | US EQT EX 2027 | 105 | $10,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 3,800 | $9,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 200 | $9,000 | thousands by filing date | put |
| EQUITABLE HLDGS INC COM | 29452E101 | Stock | 300 | $9,000 | thousands by filing date | put |
| OKLO INC COM CL A | 02156V109 | Stock | 908 | $9,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C417 | US EQTY PWR BUF | 299 | $9,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 100 | $9,000 | thousands by filing date | put |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 405 | $9,000 | thousands by filing date | |
| HUMACYTE INC | 44486Q103 | COM | 778 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X788 | IPOX EUROPE EQ | 280 | $9,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q774 | LDRSHS ALPFACT | 292 | $9,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 522 | $9,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 241 | $9,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 314 | $9,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 559 | $9,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 1,107 | $9,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 1,324 | $9,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 199 | $9,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,667 | $9,000 | thousands by filing date | |
| KALTURA INC | 483467106 | COMMON STOCK | 921 | $9,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 4,527 | $9,000 | thousands by filing date | |
| VERSABANK NEW | 92512J106 | COM | 794 | $9,000 | thousands by filing date | |
| ISHARES TR | 46436E825 | IBONDS 29 TRM TS | 338 | $9,000 | thousands by filing date | |
| LISTED FDS TR | 53656F581 | OVERLAY SHARES | 313 | $9,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 1,461 | $9,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 6,597 | $9,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F581 | FT VEST NAS | 409 | $9,000 | thousands by filing date | |
| AMERICAN CUSTOMER SATISFACTION ETF | 886364710 | UIT EXCHANGE TRADED | 189 | $9,000 | thousands by filing date | |
| Momentus Inc W Exp 08/12/202 | 60879E119 | SPAC Combination | 3,393 | $9,000 | thousands by filing date | |
| SIMILARWEB LTD | M84137104 | SHS | 447 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B573 | CMN | 100 | $9,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430164 | CMN | 167 | $9,000 | thousands by filing date | |
| ACUMEN PHARMACEUTICALS INC | 00509G209 | CMN | 610 | $9,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 746 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 126 | $9,000 | thousands by filing date | |
| INDONESIA ENERGY CORP LTD | G4760X102 | ORD SHS | 2,073 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 566 | $9,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y388 | RESTAURANT ETF | 397 | $9,000 | thousands by filing date | |
| 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 |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 3,113 | $9,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 800 | $9,000 | thousands by filing date | |
| POWERED BRANDS | G7209M116 | WARR | 13,747 | $9,000 | thousands by filing date | |
| NEXTERS INC | G6529J100 | COM | 1,295 | $9,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 500 | $9,000 | thousands by filing date | |
| LUCIRA HEALTH INC | 54948U105 | COM | 1,147 | $9,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,154 | $9,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 886 | $9,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 15,000 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 840 | $9,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 572 | $9,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 2,784 | $9,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 3,403 | $9,000 | thousands by filing date | |
| NUVVE HOLDING | 67079Y118 | Rights and Bearer Warrants; Warrants (except Bearer) | 6,385 | $9,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 5,298 | $9,000 | thousands by filing date | |
| KUKE MUSIC HLDG LTD SPONSORED ADS | 501229108 | ADR | 1,503 | $9,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 92561V117 | COM | 3,948 | $9,000 | thousands by filing date | |
| FUSION FUEL GREEN PLC | G3R25D100 | *W EXP 12/10/202 | 2,362 | $9,000 | thousands by filing date | |
| TOKEN CAT LTD SPONSORED ADR | 89856T203 | ADR | 4,128 | $9,000 | thousands by filing date | |
| CORNER GROWTH ACQUISITION CO | G2425N113 | *W EXP 99/99/999 | 11,350 | $9,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 3,500 | $9,000 | thousands by filing date | |
| PINE IS ACQUISITION CORP | 722615101 | CL A | 930 | $9,000 | thousands by filing date | |
| ZANITE ACQUISITION CORP | 98907K111 | *W EXP 10/08/202 | 11,290 | $9,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 6,594 | $9,000 | thousands by filing date | |
| ESM ACQUISITION CORPORATION | G3195H120 | UNIT 99/99/9999 | 913 | $9,000 | thousands by filing date | |
| PINE TECHNOLOGY ACQUISITN CO | 722850203 | UNIT 03/31/2028 | 926 | $9,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 8,098 | $9,000 | thousands by filing date | |
| EUROPEAN BIOTECH ACQUTN CORP | G3167F110 | UNIT 03/09/2026 | 879 | $9,000 | thousands by filing date | |
| PAGAYA TECHNOLOGIES LTD CL A SHS | G2955B109 | COM | 954 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347G598 | ULTRASHORT INDL | 564 | $9,000 | thousands by filing date | |
| GOAL ACQUISITIONS CORP | 38021H206 | UNIT 99/99/9999 | 892 | $9,000 | thousands by filing date | |
| ACE GLOBAL BUSINESS ACQU LTD | G0083E128 | UNIT 03/26/2026 | 867 | $9,000 | thousands by filing date | |
| 7GC & CO HOLDINGS INC | 81786A206 | UNIT 12/23/2025 | 851 | $9,000 | thousands by filing date | |
| AMERICAN ACQUISITION OPPT IN | 02369M201 | UNIT 05/28/2026 | 897 | $9,000 | thousands by filing date | |
| CF ACQUISITION CORP VIII | 12520C208 | UNIT 03/31/2028 | 897 | $9,000 | thousands by filing date | |
| SUSTAINABLE DEVELP ACQU I CO | 86934L202 | UNIT 02/04/2026 | 938 | $9,000 | thousands by filing date | |
| MINIM INC | 60365W102 | COM | 5,000 | $9,000 | thousands by filing date | |
| SKYDECK ACQUISITION CORP | G82220107 | UNIT 05/13/2026 | 933 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 363 | $9,000 | thousands by filing date | |
| BINAH CAP GROUP INC | 496861204 | BCG | 840 | $9,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 9,000 | $9,000 | thousands by filing date | principal |
| GUINNESS ATKINSON FDS | 402031868 | SMARTETFS ADVER | 326 | $9,000 | thousands by filing date | |
| INMED PHARMACEUTICALS INC | 457637502 | COM NEW | 4,861 | $9,000 | thousands by filing date | |
| AKOUOS INC | 00973J101 | COM | 759 | $9,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K873 | CL A | 4,500 | $9,000 | thousands by filing date | |
| MATTERPORT INC | 577096118 | W EXP 08/24/202 | 1,136 | $9,000 | thousands by filing date | |
| EMPOWERMENT & INCLUSION CAPI | 29248N100 | CMN | 930 | $9,000 | thousands by filing date | |
| VENUS ACQUISITION CORPORATIO | G9420F102 | CMN | 894 | $9,000 | thousands by filing date | |
| SCP & CO HEALTHCARE ACQUSTN | 784065203 | UNT | 884 | $9,000 | thousands by filing date | |
| DHB CAPITAL CORP | 23291W109 | CMN | 900 | $9,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E731 | CABANA TARGET 5 | 365 | $9,000 | thousands by filing date | |
| AUSTERLITZ ACQUISITION CORP | G0633D109 | SHS CL A | 940 | $9,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019200 | UNIT 08/31/2027 | 945 | $9,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 100 | $9,000 | thousands by filing date | |
| POPULATION HEALTH INVS CO IN | G71716123 | UNIT 99/99/9999 | 925 | $9,000 | thousands by filing date | |
| COLICITY INC | 194170106 | COM CL A | 963 | $9,000 | thousands by filing date | |
| TEKKORP DIGITAL ACQUISITN CO | G8739H114 | *W EXP 10/26/202 | 10,609 | $9,000 | thousands by filing date | |
| ECP ENVIRONMENTAL GW OPT COR | 26829T209 | UNIT 03/01/2026 | 945 | $9,000 | thousands by filing date | |
| CODE CHAIN NEW CONTINENT LTD | 19200A105 | COM | 6,648 | $9,000 | thousands by filing date | |
| PUHUI WEALTH INVT MGMT CO LT | G7306H101 | SHS | 4,208 | $9,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 9,000 | $9,000 | thousands by filing date | principal |
| FAST ACQUISITION CORP | 311875207 | UNIT 99/99/9999 | 591 | $9,000 | thousands by filing date | |
| SUPERNOVA PARTNERS ACQUISTN | G8T86C113 | UNIT 99/99/9999 | 938 | $9,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | G2124G104 | ORD SHS | 13,442 | $9,000 | thousands by filing date | |
| LISTED FD TR | 53656F615 | CABOT GROWTH ETF | 345 | $9,000 | thousands by filing date | |
| VPC IMPACT ACQU HOLDI III IN | 91835J207 | UNIT 99/99/9999 | 860 | $9,000 | thousands by filing date | |
| VISTAS MEDIA ACQUISITION CO | 92840T206 | UNIT 08/03/2025 | 875 | $9,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L656 | FAT TAIL RISK | 377 | $9,000 | thousands by filing date | |
| GIGCAPITAL4 INC | 37518G101 | COM | 928 | $9,000 | thousands by filing date | |
| HORIZON ACQUISITION CORP | G46049121 | UNIT 99/99/9999 | 867 | $9,000 | thousands by filing date | |
| TRIDENT ACQUISITIONS CORP | 89615T205 | UNIT 05/09/2023 | 688 | $9,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 100 | $8,000 | thousands by filing date | put |
| TENAYA THERAPEUTICS INC | 87990A106 | COM | 375 | $8,000 | thousands by filing date | |
| TRUMP MEDIA & TECHNOLOGY | 25400Q105 | COM | 851 | $8,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 899 | $8,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 10,480 | $8,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 246 | $8,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A405 | SEIX SR LN ETF | 300 | $8,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 171 | $8,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 400 | $8,000 | thousands by filing date | call |
| LIMBACH HLDGS INC | 53263P105 | COM | 1,216 | $8,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 147 | $8,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 723 | $8,000 | thousands by filing date | |
| ROCKET LAB USA INC | 773122106 | COM | 500 | $8,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 1,922 | $8,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 771 | $8,000 | thousands by filing date | |
| BOWMAN CONSULTING GROUP LTD | 103002101 | COM | 569 | $8,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 185 | $8,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,988 | $8,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 346 | $8,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 1,497 | $8,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 780 | $8,000 | thousands by filing date | |
| INNOVATOR U.S. SMALL CAP POWER BUFFER ETF - APRIL | 45782C342 | ETF | 302 | $8,000 | thousands by filing date | |
| ATRENEW INC | 00138L108 | SPONSORED ADS | 809 | $8,000 | thousands by filing date | |
| Tscan Therapeutics Inc | 89854M101 | COM | 946 | $8,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 875 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J593 | RUSL 2000 DYNM | 200 | $8,000 | thousands by filing date | |
| JERASH HLDGS US INC | 47632P101 | CMN | 1,262 | $8,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 4,100 | $8,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 4,266 | $8,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 512 | $8,000 | thousands by filing date | |
| VERIFYME INC | 92346X206 | COM NEW | 2,315 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 150 | $8,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 2,470 | $8,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 4,155 | $8,000 | thousands by filing date | |
| CONX Corp | 212873111 | Warrant | 6,801 | $8,000 | thousands by filing date | |
| SMART SH GLOBAL LTD | 83193E102 | ADS | 2,529 | $8,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 5,269 | $8,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y300 | ADR NEW | 1,297 | $8,000 | thousands by filing date | |
| ONTRAK INC | 683373104 | COM | 832 | $8,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 3,209 | $8,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 677 | $8,000 | thousands by filing date | |
| GUINNESS ATKINSON FDS | 402031850 | SUSTAINABLE ENER | 250 | $8,000 | thousands by filing date | |
| WIX COM LTD | 92940WAD1 | NOTE 8/1 | 8,000 | $8,000 | thousands by filing date | principal |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 8,000 | $8,000 | thousands by filing date | principal |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 8,000 | $8,000 | thousands by filing date | principal |
| SNAP ONE HOLDINGS CORP | 83303Y105 | COM | 500 | $8,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 208 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P480 | FUND | 326 | $8,000 | thousands by filing date | |
| DEEP LAKE CAPITAL ACQUSTN CO | G27029100 | COM | 868 | $8,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 1,138 | $8,000 | thousands by filing date | |
| HOME PT CAPITAL INCORPORATED | 43734L106 | COM | 2,000 | $8,000 | thousands by filing date | |
| PANACEA ACQUISITION CORP II | G6882C106 | COM | 868 | $8,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 5,211 | $8,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 1,863 | $8,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 463 | $8,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678507 | COM | 1,817 | $8,000 | thousands by filing date | |
| ALZAMEND NEURO INC | 02262M308 | COM NEW | 2,717 | $8,000 | thousands by filing date | |
| RA MED SYS INC | 74933X203 | COM | 2,672 | $8,000 | thousands by filing date | |
| HPX CORP | G32219118 | UNIT 99/99/9999 | 785 | $8,000 | thousands by filing date | |
| PATHFINDER ACQUISITION CORP | G04119114 | UNIT 02/17/2026 | 789 | $8,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CORP | G3312L129 | UNIT 99/99/9999 | 778 | $8,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A796 | FOCUSED DISCOVRY | 648 | $8,000 | thousands by filing date | |
| MERCURITY FINTECH HOLDING IN | 58936H109 | SPONSORED ADS | 3,692 | $8,000 | thousands by filing date | |
| SPIRE GLOBAL INC | 848560116 | *W EXP 01/01/203 | 4,565 | $8,000 | thousands by filing date | |
| ADIT EDTECH ACQUISITION CORP | 007024102 | COMMON STOCK | 782 | $8,000 | thousands by filing date | |
| CF ACQUISITION CORP VIII | 12520C109 | CLASS A COM | 800 | $8,000 | thousands by filing date | |
| BLUESCAPE OPPORTUNITIES ACQU | G1195N121 | UNIT 99/99/9999 | 734 | $8,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 800 | $8,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 1,074 | $8,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 780 | $8,000 | thousands by filing date | |
| Natixis Loomis Sayles Short Duration Income ETF | 63873X208 | ETP | 314 | $8,000 | thousands by filing date | |
| CULLMAN BANCORP INC | 230153108 | COM | 618 | $8,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 7,684 | $8,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 450 | $8,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 7,500 | $8,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 1,856 | $8,000 | thousands by filing date | |
| BIOCEPT INC | 09072V501 | COM | 1,984 | $8,000 | thousands by filing date | |
| HALL OF FAME RESORT & ENTMT | 40619L102 | COM | 3,000 | $8,000 | thousands by filing date | |
| CRUCIBLE ACQUISITION CORP | 22877P108 | CMN | 773 | $8,000 | thousands by filing date | |
| NATURAL ORDER ACQUISITION CO | 63889L107 | CMN | 811 | $8,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM | 063679591 | NT LKD 41 | 325 | $8,000 | thousands by filing date | |
| POP CULTURE GROUP CO LTD | G71700101 | CLASS A ORD SHS | 2,564 | $8,000 | thousands by filing date | |
| ORIENTAL CULTURE HOLDING LTD | G6796W107 | ORD SHS | 1,954 | $8,000 | thousands by filing date | |
| L&F ACQUISITION CORP | G53702117 | *W EXP 05/23/202 | 13,886 | $8,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP II | 42087R108 | CLASS A COM | 866 | $8,000 | thousands by filing date | |
| TIGA ACQUISITION CORP | G88672129 | UNIT 99/99/9999 | 741 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 199 | $8,000 | thousands by filing date | |
| TAOPING INC | G8675V119 | SHS NEW | 3,130 | $8,000 | thousands by filing date | |
| Lixte Biotech HLDG | 539319202 | COM | 4,039 | $8,000 | thousands by filing date | |
| Renovacor Inc | 75989E114 | Warrant | 12,781 | $8,000 | thousands by filing date | |
| INSU ACQUISITION CORP III | 457817302 | UNIT 12/31/2026 | 840 | $8,000 | thousands by filing date | |
| BOA ACQUISITION CORP UNIT EX 022228 | 05601A208 | Stock | 859 | $8,000 | thousands by filing date | |
| ARCHIMEDES TECH SPAC PARTNR CO SUB UNIT | 039562301 | Stock | 804 | $8,000 | thousands by filing date | |
| TIDAL ETF TR | 886364728 | SONICSHARES AIR | 1,585 | $8,000 | thousands by filing date | |
| Natural Order Acquisition Corp | 63889L206 | Equity | 751 | $8,000 | thousands by filing date | |
| Atlantic Avenue Acquisition Corp | 04906P119 | Warrant | 11,985 | $8,000 | thousands by filing date | |
| ALTAMIRA THERAPEUTICS LTD | G0360L100 | SHS | 3,923 | $8,000 | thousands by filing date | |
| PROVIDENT ACQUISITION CORP | G7282L118 | UNIT 99/99/9999 | 789 | $8,000 | thousands by filing date | |
| NORTH MOUNTAIN MERGER CORP | 661204206 | UNIT 09/16/2025 | 841 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 208 | $8,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 13,056 | $8,000 | thousands by filing date | |
| SWITCHBACK II CORPORATION | G8633T115 | COM CL A | 807 | $8,000 | thousands by filing date | |
| FORESIGHT ACQ CRP; TNT ACQ DT: 2/10/2023; CASH: $10.00 | 34552Y106 | CL A | 801 | $8,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 2,621 | $8,000 | thousands by filing date | |
| 23ANDME HOLDING CO WT EXP 061626 | 90138Q116 | Stock | 4,446 | $8,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP | G0370L124 | UNIT 99/99/9999 | 760 | $8,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q204 | Cmn | 718 | $8,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 1,500 | $8,000 | thousands by filing date | |
| SEAPORT GLOBAL ACQUISITN COR | 812227205 | UNIT 99/99/9999 | 710 | $8,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L771 | TREND AGRD GWT | 320 | $8,000 | thousands by filing date | |
| Invesco BulletShares 2030 Corp Bd ETF | 46138J460 | SHS | 368 | $7,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 5,173 | $7,000 | thousands by filing date | |
| DOCEBO INC COM | 25609L105 | Stock | 91 | $7,000 | thousands by filing date | |
| AIM ETF PRODUCTS TRUST | 00888H109 | US LRGCP B10 APR | 259 | $7,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 4,425 | $7,000 | thousands by filing date | |
| THOUGHTWORKS HOLDING INC | 88546E105 | COM | 228 | $7,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 995 | $7,000 | thousands by filing date | |
| ISHARES ESG ADVANCED UNIVERSAL USD BOND ETF | 46436E619 | COM | 134 | $7,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 350 | $7,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 254 | $7,000 | thousands by filing date | |
| SMARTRENT INC | 83193G107 | COMMON STOCK | 566 | $7,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 642 | $7,000 | thousands by filing date | |
| US GOLD CORP | 90291C201 | COMMON STOCK | 668 | $7,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C821 | US EQTY ULTRA B | 268 | $7,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,063 | $7,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 960 | $7,000 | thousands by filing date | |
| AEYE INC | 008183113 | *W EXP 09/30/202 | 6,018 | $7,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 125 | $7,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 927 | $7,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 980 | $7,000 | thousands by filing date | |
| Holley Inc W Exp 11/30/202 | 43538H111 | SPAC Combination | 2,329 | $7,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,035 | $7,000 | thousands by filing date | |
| WHITEHAWK THERAPEUTICS INC | 00032Q104 | CMN | 240 | $7,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,000 | $7,000 | thousands by filing date | |
| GUINNESS ATKINSON FDS | 402031876 | SMART TRANSN ETF | 148 | $7,000 | thousands by filing date | |
| SONO TEK CORP | 835483108 | COM | 1,601 | $7,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 1,843 | $7,000 | thousands by filing date | |
| SEQLL INC | 81734C114 | *W EXP 08/31/202 | 6,952 | $7,000 | thousands by filing date | |
| RADIUS GLOBAL INFRASTRUCTURE INC | 750481103 | COMMON STOCK | 453 | $7,000 | thousands by filing date | |
| JAWS MUSTANG ACQUISITION CORP SHS CL A | G50737108 | Stock | 681 | $7,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 3,152 | $7,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 3,333 | $7,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAC9 | NOTE 0.375% 3/0 | 7,000 | $7,000 | thousands by filing date | principal |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,191 | $7,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 456 | $7,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 4,971 | $7,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 3,785 | $7,000 | thousands by filing date | |
| PETIQ INC | 71639TAB2 | NOTE 4.000% 6/0 | 6,000 | $7,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B185 | FUND | 555 | $7,000 | thousands by filing date | |
| VIRACTA THERAPEUTICS INC | 92765F108 | COM | 871 | $7,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 913 | $7,000 | thousands by filing date | |
| PARSONS CORP DEL | 70202LAB8 | BOND | 7,000 | $7,000 | thousands by filing date | principal |
| EMAGIN CORP | 29076N206 | COM | 3,187 | $7,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 197 | $7,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,500 | $7,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 519 | $7,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 972 | $7,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 753 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 524 | $7,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 12,085 | $7,000 | thousands by filing date | |
| PINTEC TECHNOLOGY HLDGS LTD SPONSORED ADS | 72352G107 | ADR | 6,661 | $7,000 | thousands by filing date | |
| NULL | 301505749 | NULL | 210 | $7,000 | thousands by filing date | |
| GREEN GIANT INC | 16948W209 | COM NEW | 4,735 | $7,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 3,039 | $7,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 9,682 | $7,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W501 | COM | 2,969 | $7,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 6,805 | $7,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 1,006 | $7,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351XAB7 | NOTE 2.250% 6/1 | 7,000 | $7,000 | thousands by filing date | principal |
| IRIS ACQUISITION CORP | 89601Y101 | CLASS A COM | 750 | $7,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP V | 17144T115 | *W EXP 10/29/202 | 5,095 | $7,000 | thousands by filing date | |
| M3 BRIGADE ACQUISITION II CO | 553800103 | COM CL A | 659 | $7,000 | thousands by filing date | |
| VISION MARINE TECHNOLOGIES I | C96657116 | COM | 1,066 | $7,000 | thousands by filing date | |
| E2OPEN PARENT HOLDINGS INC | 29788T111 | *W EXP 02/04/202 | 2,544 | $7,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K409 | COMMON | 1,330 | $7,000 | thousands by filing date | |
| CYTEIR THERAPEUTICS INC | 23284P103 | COMMON | 419 | $7,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 2,136 | $7,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 5,000 | $7,000 | thousands by filing date | principal |
| FREYR BATTERY INC | L4135L118 | *W EXP 09/01/202 | 2,532 | $7,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 364 | $7,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVS CORP I | 443760103 | CMN | 712 | $7,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP 2 | G0371B109 | CMN | 716 | $7,000 | thousands by filing date | |
| SCP & CO HEALTHCARE ACQUSTN | 784065104 | CMN | 700 | $7,000 | thousands by filing date | |
| HEALTHCARE SERVICES ACQU COR | 42227K104 | CMN | 731 | $7,000 | thousands by filing date | |
| G MED INNOVATIONS HLDGS LTD | G39462208 | CMN | 3,248 | $7,000 | thousands by filing date | |
| CONVEY HEALTH SOLUTIONS HLDG | 21258C108 | CMN | 787 | $7,000 | thousands by filing date | |
| ALARUM TECHNOLOGIES LTD SPONSORD ADS NEW | 78643B401 | ADR | 6,635 | $7,000 | thousands by filing date | |
| SHINECO INC | 824567309 | COM | 630 | $7,000 | thousands by filing date | |
| Global X Cannabis ETF | 37954Y426 | EX TRD EQ FD | 827 | $7,000 | thousands by filing date | |
| KUBIENT INC COM USD0.00001 | 50116V107 | COM | 2,183 | $7,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 1,433 | $7,000 | thousands by filing date | |
| DOGNESS INTERNATIONAL CORP | G2788T103 | COM CL A | 2,580 | $7,000 | thousands by filing date | |
| PETROS PHARMACEUTICALS INC | 71678J100 | COM | 3,612 | $7,000 | thousands by filing date | |
| FLJ GROUP LIMITED SPON ADS | 74738J102 | ADR | 11,134 | $7,000 | thousands by filing date | |
| PIVOTAL HOLDINGS CORP | G7315C101 | CL A SHS | 756 | $7,000 | thousands by filing date | |
| FORTISTAR SUSTAINABLE SOL CO | 34962M205 | UNIT 01/14/2026 | 666 | $7,000 | thousands by filing date | |
| HEALTH ASSURN ACQUISITION CO | 42226W117 | *W EXP 11/12/202 | 7,086 | $7,000 | thousands by filing date | |
| B RILEY PRINCIPAL 150 MERGER | 05601V202 | UNIT 99/99/9999 | 687 | $7,000 | thousands by filing date | |
| SONNET BIOTHERAPEUTC HLDNG I | 83548R105 | COM | 10,810 | $7,000 | thousands by filing date | |
| Concord Acquisition Corp | 206071110 | *W EXP 11/28/202 | 3,946 | $7,000 | thousands by filing date | |
| METEN HOLDING GROUP LTD | G6055H114 | ORD SHS | 20,292 | $7,000 | thousands by filing date | |
| ECOFIN DIGITAL PAYMENTS INFRASTRUCTURE FUND | 56167N548 | ETF | 147 | $7,000 | thousands by filing date | |
| LEFTERIS ACQUISITION CORP UNIT EX | 52470X208 | Stock | 711 | $7,000 | thousands by filing date | |
| GORES TECHNOLOGY PARTNERS II | 38287L206 | UNIT 03/16/2028 | 705 | $7,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 6,400 | $7,000 | thousands by filing date | |
| GROM SOCIAL ENTERPRISES INC | 39878L118 | *W EXP 06/17/202 | 6,120 | $7,000 | thousands by filing date | |
| DPCM CAPITAL, INC. | 23344P200 | COM | 692 | $7,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576200 | CL B | 288 | $7,000 | thousands by filing date | |
| BROOKLINE CAP ACQUISITION CO | 11374E112 | *W EXP 08/31/202 | 9,955 | $7,000 | thousands by filing date | |
| 17 ED & TECHNOLOGY GROUP INC | 81807M106 | ADS | 8,562 | $7,000 | thousands by filing date | |
| ARCHIMEDES TECH SPAC PARTNR | 039562202 | UNIT 03/10/2026 | 737 | $7,000 | thousands by filing date | |
| ENVIRONMENTAL IMPACT ACQU CO | 29408N114 | *W EXP 09/30/202 | 7,235 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A669 | NATIONWIDE RSK | 249 | $7,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T125 | UNIT 99/99/9999 | 686 | $7,000 | thousands by filing date | |
| Athena Technology Acquisition | 04687A109 | COM CLASS A | 707 | $7,000 | thousands by filing date | |
| INDUSTRIAL TECH ACQ CORP; TNT ACQ DT: 12/9/2021; CASH: $10.10 | 456357102 | COM CL A | 663 | $7,000 | thousands by filing date | |
| KRANESHARES TR | 500767686 | KYA DYNMC INC | 304 | $7,000 | thousands by filing date | |
| DD3 ACQUISITION CORP II | 23318M209 | COM | 685 | $7,000 | thousands by filing date | |
| YUNHONG INTL | G98882114 | UNIT 99/99/9999 | 700 | $7,000 | thousands by filing date | |
| PGIM ETF TR | 69344A503 | QMA STRGC GWTH | 93 | $7,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 600 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 100 | $6,000 | thousands by filing date | |
| AVEANNA HEALTHCARE HLDGS INC | 05356F105 | COM | 805 | $6,000 | thousands by filing date | |
| MEDIAALPHA INC | 58450V104 | CL A | 297 | $6,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W648 | U.S. TECH INDEPD | 108 | $6,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 156 | $6,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 765 | $6,000 | thousands by filing date | |
| AIM ETF PRODUCTS TRUST | 00888H208 | ALLIANZIM US EQT | 213 | $6,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 343 | $6,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 390 | $6,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 592 | $6,000 | thousands by filing date | |
| ARKO CORP | 041242108 | COMMON STOCK | 596 | $6,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 274 | $6,000 | thousands by filing date | |
| DUOS TECHNOLOGIES GROUP INC | 266042407 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,079 | $6,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 277 | $6,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 508 | $6,000 | thousands by filing date | |
| TREACE MED CONCEPTS INC | 89455T109 | COM | 224 | $6,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 121 | $6,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 1,700 | $6,000 | thousands by filing date | |
| INVESCO INVESTMENT GRADE DEFENSIVE ETF | 46139W502 | ETF | 223 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 193 | $6,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 2,088 | $6,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 891 | $6,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 466 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P546 | SYSTMTC STYL PRE | 271 | $6,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 124 | $6,000 | thousands by filing date | |
| WATERDROP INC | 94132V105 | CMN | 2,608 | $6,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 2,495 | $6,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 843 | $6,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 472 | $6,000 | thousands by filing date | |
| NORTHERN LIGHTS FD TR | 66538J738 | TOEWS AGLTY DNYM | 230 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 258 | $6,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 2,242 | $6,000 | thousands by filing date | |
| Reviva Pharmaceuticals Holdings Inc | 76152G100 | Common Stock | 1,578 | $6,000 | thousands by filing date | |
| SPRING VALLEY ACQ CORP | G8377A124 | COMMON STOCK | 8,368 | $6,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 117 | $6,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 4,044 | $6,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 397 | $6,000 | thousands by filing date | |
| INSTRUCTURE HLDGS INC | 457790103 | COM | 255 | $6,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 1,876 | $6,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061821 | CANNABIS ETF | 461 | $6,000 | thousands by filing date | |
| ANEBULO PHARMACEUTICALS INC | 034569103 | COM | 848 | $6,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 2,400 | $6,000 | thousands by filing date | |
| PAYSAFE LIMITED | G6964L115 | *W EXP 03/30/202 | 2,988 | $6,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 357 | $6,000 | thousands by filing date | |
| SIGILON THERAPEUTICS INC | 82657L107 | COM | 1,006 | $6,000 | thousands by filing date | |
| AEYE INC | 008183105 | COM | 1,086 | $6,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 265 | $6,000 | thousands by filing date | |
| JASPER THERAPEUTICS INC | 471871103 | COM | 539 | $6,000 | thousands by filing date | |
| VITRU LTD | G9440D103 | COM | 375 | $6,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 694 | $6,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 12,909 | $6,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 75 | $6,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 551 | $6,000 | thousands by filing date | |
| MOGU INC SPON ADS | 608012100 | ADR | 5,895 | $6,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 6,000 | $6,000 | thousands by filing date | principal |
| TAILWIND ACQUISITION CORP | 87403Q110 | *W EXP 09/07/202 | 10,945 | $6,000 | thousands by filing date | |
| MEIWU TECHNOLOGY COMPANY LTD | G9604C107 | ORD SHS | 1,484 | $6,000 | thousands by filing date | |
| ARCTOS NORTHSTAR ACQUIS CORP | G0477L126 | *W EXP 99/99/999 | 7,549 | $6,000 | thousands by filing date | |
| 4D PHARMA PLC | 35085K109 | SPONSORED ADS | 912 | $6,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITN CORP | G8201H121 | UNIT 02/26/2026 | 636 | $6,000 | thousands by filing date | |
| LIVE OAK MOBILITY ACQUISI CO | 538126103 | COM CL A | 576 | $6,000 | thousands by filing date | |
| CORAZON CAPITAL V838 MONOCER | G24237110 | UNIT 03/24/2026 | 615 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 333 | $6,000 | thousands by filing date | |
| FTAC PARNASSUS ACQUISITN COR | 30319B207 | UNIT 03/10/2026 | 596 | $6,000 | thousands by filing date | |
| INDEPENDENCE HOLDINGS CORP | G4761A101 | CLASS A ORD SHS | 620 | $6,000 | thousands by filing date | |
| MODEL PERFORMANCE ACQU CORP | G6246M139 | *W EXP 04/29/202 | 12,196 | $6,000 | thousands by filing date | |
| LDH GROWTH CORP I | G54094118 | UNIT 03/17/2026 | 611 | $6,000 | thousands by filing date | |
| BIOTECH ACQUISITION COMPANY | G1125A124 | UNIT 11/30/2027 | 568 | $6,000 | thousands by filing date | |
| INTERNATIONAL MEDIA ACQUISIT | 459867206 | UNIT 07/21/2026 | 559 | $6,000 | thousands by filing date | |
| MOUNTAIN CREST ACQUSITN CRP | 62403K108 | COM | 605 | $6,000 | thousands by filing date | |
| ALTITUDE ACQUISITION CORP | 02156Y202 | UNIT 11/30/2027 | 579 | $6,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT CO II | 90118T106 | COM CL A | 626 | $6,000 | thousands by filing date | |
| IRONNET INC | 46323Q113 | *W EXP 08/26/202 | 1,418 | $6,000 | thousands by filing date | |
| CN ENERGY GROUP INC | G2181K105 | COMMON | 924 | $6,000 | thousands by filing date | |
| CYREN LTD | M26895108 | SHS | 9,272 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y723 | EDUCATION ETF | 523 | $6,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L203 | COM NEW | 5,695 | $6,000 | thousands by filing date | |
| SENESTECH INC | 81720R208 | COM NEW | 3,725 | $6,000 | thousands by filing date | |
| DOMA HOLDINGS INC | 25703A112 | *W EXP 07/28/202 | 4,010 | $6,000 | thousands by filing date | |
| TROIKA MEDIA GROUP INC | 89689F115 | *W EXP 04/13/202 | 17,255 | $6,000 | thousands by filing date | |
| ACE CONVERGENCE ACQU CORP | G0083D104 | *W EXP 09/30/202 | 10,100 | $6,000 | thousands by filing date | |
| DECARBONIZATION PLUS ACQU II | 242794113 | *W EXP 01/19/202 | 4,811 | $6,000 | thousands by filing date | |
| SEVEN OAKS ACQUISITION CORP | 81787X106 | COM CL A | 588 | $6,000 | thousands by filing date | |
| PAINREFORM LTD | M77798102 | SHS | 2,091 | $6,000 | thousands by filing date | |
| AIRSPAN NETWORKS HOLDINGS IN | 00951K138 | *W EXP 08/13/202 | 490 | $6,000 | thousands by filing date | |
| FG FINANCIAL GROUP INC | 30259W104 | COM | 1,267 | $6,000 | thousands by filing date | |
| FRAZIER LIFESCIENCES ACQU CORP UNIT EXP 120925 | G3710A121 | Stock | 579 | $6,000 | thousands by filing date | |
| NATURAL ORDER ACQUISITION CO | 63889L115 | *W EXP 09/15/202 | 10,887 | $6,000 | thousands by filing date | |
| MOTORSPORT GAMES INC | 62011B102 | COM CL A | 432 | $6,000 | thousands by filing date | |
| PALISADE BIO INC | 696389105 | COM | 2,264 | $6,000 | thousands by filing date | |
| G MED INNOVATIONS HLDGS LTD | G39462117 | *W EXP 06/30/202 | 14,629 | $6,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 2,655 | $6,000 | thousands by filing date | |
| BIT BROTHER LIMITED | G1144D109 | SHS | 6,500 | $6,000 | thousands by filing date | |
| OTR ACQUISITION CORP | 67113Q204 | UNIT 10/01/2025 | 600 | $6,000 | thousands by filing date | |
| METROMILE INC | 591697115 | *W EXP 02/09/202 | 7,425 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-21-015152 | this filing | 2021-11-15 | acceptance time not in the bulk data set |