UBS Group AG Q3 2019 Filing

Filed November 14, 2019

Portfolio Value

$259.8M

Holdings

7,099

Report Date

Q3 2019

Filing Type

13F-HR

All Holdings (7,099 positions)

#	Stock	Shares	Value	% Portfolio	Type
3001	BGHBARINGS GLOBAL SHORT DURATIO	82,353	$1.4M	0.55%
3002	XCHYXCALAMOS CONV & HIGH INCOME F	129,940	$1.4M	0.55%
3003	MCYMERCURY GENL CORP NEW	25,572	$1.4M	0.55%
3004	DENNDENNYS CORP	62,780	$1.4M	0.55%
3005	BOKFBOK FINL CORP	18,050	$1.4M	0.55%
3006	CVLTCOMMVAULT SYSTEMS INC	31,862	$1.4M	0.55%
3007	HIMXHIMAX TECHNOLOGIES INC	627,455	$1.4M	0.55%	Call
3008	NPOENPRO INDS INC	20,721	$1.4M	0.55%
3009	FXZFIRST TR EXCHANGE TRADED FD	38,180	$1.4M	0.55%
3010	QQLVINVESCO EXCH TRD SLF IDX FD	54,421	$1.4M	0.55%
3011	CWKCUSHMAN WAKEFIELD PLC	76,420	$1.4M	0.55%
3012	—SALIENT MIDSTREAM & MLP FD	179,625	$1.4M	0.54%
3013	SCHN1EURSCHNITZER STL INDS	68,235	$1.4M	0.54%
3014	TWSTTWIST BIOSCIENCE CORP	58,991	$1.4M	0.54%
3015	AAMIBRIGHTSPHERE INVT GROUP INC	141,517	$1.4M	0.54%
3016	PSTGPURE STORAGE INC	82,708	$1.4M	0.54%
3017	PATKPATRICK INDS INC	32,609	$1.4M	0.54%
3018	RGSUSDREGIS CORP MINN	68,855	$1.4M	0.54%
3019	AFBALLIANCEBERNSTEIN NATL MUNI	101,017	$1.4M	0.54%
3020	MLIMUELLER INDS INC	48,483	$1.4M	0.54%
3021	FANFIRST TR EXCHANGE TRADED FD	105,744	$1.4M	0.54%
3022	TRNTRINITY INDS INC	70,575	$1.4M	0.53%
3023	BB3BROOKLINE BANCORP INC DEL	94,200	$1.4M	0.53%
3024	—NUVEEN ENERGY MLP TOTL RTRNF	160,087	$1.4M	0.53%
3025	—CONFORMIS INC	744,494	$1.4M	0.53%
3026	GQREFLEXSHARES TR	21,186	$1.4M	0.53%
3027	FRELFIDELITY COVINGTON TR	49,356	$1.4M	0.53%
3028	NSTGEURNANOSTRING TECHNOLOGIES INC	63,706	$1.4M	0.53%
3029	FCFFIRST COMWLTH FINL CORP PA	103,363	$1.4M	0.53%
3030	PAMPAMPA ENERGIA S A	79,072	$1.4M	0.53%
3031	VIRTVIRTU FINL INC	83,796	$1.4M	0.53%
3032	SVMKUSDSVMK INC	80,082	$1.4M	0.53%
3033	NBRNABORS INDUSTRIES LTD	731,218	$1.4M	0.53%	Put
3034	GPOR1EURGULFPORT ENERGY CORP	503,802	$1.4M	0.53%	Call
3035	AMWDAMERICAN WOODMARK CORPORATIO	15,351	$1.4M	0.53%
3036	PNIPIMCO NY MUNICIPAL INCOME FD	94,528	$1.4M	0.53%
3037	WSRWHITESTONE REIT	99,062	$1.4M	0.52%
3038	—MACQUARIE FT TR GB INF UT DI	137,310	$1.4M	0.52%
3039	IRTCIRHYTHM TECHNOLOGIES INC	18,357	$1.4M	0.52%
3040	FRPTFRESHPET INC	27,345	$1.4M	0.52%
3041	IBDTISHARES TR	49,068	$1.4M	0.52%
3042	—NUVEEN MARYLAND QLT MUN INC	101,797	$1.4M	0.52%
3043	BUIBLACKROCK UTILITIES INFRSTRC	55,554	$1.4M	0.52%
3044	ARVNARVINAS INC	62,994	$1.4M	0.52%
3045	BKEBUCKLE INC	65,780	$1.4M	0.52%
3046	OMFONEMAIN HLDGS INC	36,846	$1.4M	0.52%
3047	SCHHSCHWAB STRATEGIC TR	28,637	$1.4M	0.52%
3048	—NUVEEN OHIO QLTY MUN INCOME	85,462	$1.3M	0.52%
3049	—HABIT RESTAURANTS INC	154,183	$1.3M	0.52%
3050	NEUNEWMARKET CORP	2,853	$1.3M	0.52%
3051	CMRXEURCHIMERIX INC	571,778	$1.3M	0.52%
3052	UMCUNITED MICROELECTRONICS CORP	641,905	$1.3M	0.52%
3053	BRWTEMPLETON GLOBAL INCOME FD	218,220	$1.3M	0.52%
3054	CORREURCORENERGY INFRASTRUCTURE TR	28,268	$1.3M	0.51%
3055	—NATIONAL GEN HLDGS CORP	57,954	$1.3M	0.51%
3056	COMTISHARES US ETF TR	42,306	$1.3M	0.51%
3057	SBSAFE BULKERS INC	762,262	$1.3M	0.51%
3058	ASIXADVANSIX INC	51,798	$1.3M	0.51%
3059	SD2SANDY SPRING BANCORP INC	39,422	$1.3M	0.51%
3060	—SCORPIO BULKERS INC	218,272	$1.3M	0.51%
3061	ALAIR LEASE CORP	31,677	$1.3M	0.51%
3062	1T7TRICIDA INC	42,843	$1.3M	0.51%
3063	STNGSCORPIO TANKERS INC	44,362	$1.3M	0.51%
3064	EELVINVESCO EXCHNG TRADED FD TR	57,967	$1.3M	0.51%
3065	IYLDISHARES TR	52,755	$1.3M	0.51%
3066	NBTBNBT BANCORP INC	35,970	$1.3M	0.51%
3067	UFSDOMTAR CORP	36,608	$1.3M	0.50%
3068	—INVESCO EXCHNG TRADED FD TR	96,092	$1.3M	0.50%
3069	RSPDINVESCO EXCHANGE TRADED FD T	12,527	$1.3M	0.50%
3070	MHIPIONEER MUN HIGH INCOME TR	104,883	$1.3M	0.50%
3071	PLAYDAVE & BUSTERS ENTMT INC	33,500	$1.3M	0.50%
3072	PPTPUTNAM PREMIER INCOME TR	248,253	$1.3M	0.50%
3073	ANABANAPTYSBIO INC	37,225	$1.3M	0.50%
3074	KLMNINVESCO EXCHNG TRADED FD TR	32,076	$1.3M	0.50%
3075	PEGAPEGASYSTEMS INC	19,123	$1.3M	0.50%
3076	XENWXEATON VANCE NEW YORK MUN BD	104,427	$1.3M	0.50%
3077	NXRTNEXPOINT RESIDENTIAL TR INC	27,766	$1.3M	0.50%
3078	SHENSHENANDOAH TELECOMMUNICATION	40,793	$1.3M	0.50%
3079	PBIPITNEY BOWES INC	283,605	$1.3M	0.50%
3080	SUSBISHARES TR	50,854	$1.3M	0.50%
3081	—AROTECH CORP	439,952	$1.3M	0.50%
3082	HCCWARRIOR MET COAL INC	66,207	$1.3M	0.50%
3083	—NEW SR INVT GROUP INC	192,465	$1.3M	0.50%
3084	IHEISHARES TR	9,174	$1.3M	0.49%
3085	NTBBANK OF NT BUTTERFIELD&SON L	43,251	$1.3M	0.49%
3086	TAKTAKEDA PHARMACEUTICAL CO LTD	74,502	$1.3M	0.49%
3087	—ENTERCOM COMMUNICATIONS CORP	383,614	$1.3M	0.49%
3088	—TRANSENTERIX INC	2,064,801	$1.3M	0.49%
3089	EFRENERGY FUELS INC	661,700	$1.3M	0.49%
3090	VGIVIRTUS GLOBAL MULTI-SEC INC	101,453	$1.3M	0.49%
3091	MPVBARINGS PARTN INVS	73,133	$1.3M	0.49%
3092	BSMBLACK STONE MINERALS L P	89,122	$1.3M	0.49%
3093	—ASHFORD HOSPITALITY TR INC	382,786	$1.3M	0.49%
3094	PAYSPAYSIGN INC	125,277	$1.3M	0.49%
3095	—BLACKROCK MUNIYIELD N J FD I	82,529	$1.3M	0.49%
3096	DIMWISDOMTREE TR	20,927	$1.3M	0.49%
3097	GMEGAMESTOP CORP NEW	228,580	$1.3M	0.49%	Put
3098	MMLPMARTIN MIDSTREAM PRTNRS L P	277,312	$1.3M	0.48%
3099	GRCGORMAN RUPP CO	36,157	$1.3M	0.48%
3100	AMPHAMPHASTAR PHARMACEUTICALS IN	63,468	$1.3M	0.48%

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