UBS Group AG Q4 2019 Filing

Filed February 14, 2020

Portfolio Value

$287.4M

Holdings

7,122

Report Date

Q4 2019

Filing Type

13F-HR

All Holdings (7,122 positions)

#	Stock	Shares	Value	% Portfolio	Type
3501	PZCPIMCO CALIF MUN INCOME FD II	83,464	$952K	0.33%
3502	SLPSIMULATIONS PLUS INC	32,725	$952K	0.33%
3503	ELDELDORADO GOLD CORP NEW	118,423	$951K	0.33%
3504	HBNCHORIZON BANCORP INC	50,001	$950K	0.33%
3505	—AMERICAN OUTDOOR BRANDS CORP	102,291	$949K	0.33%
3506	MVTBLACKROCK MUNIVEST FD II INC	64,034	$946K	0.33%
3507	SPBSPECTRUM BRANDS HLDGS INC NE	14,694	$945K	0.33%
3508	CIR2USDCIRCOR INTL INC	20,438	$945K	0.33%
3509	GLUUGLU MOBILE INC	156,087	$944K	0.33%
3510	—JAGGED PEAK ENERGY INC	111,132	$944K	0.33%
3511	MHIPIONEER MUN HIGH INCOME TR	78,090	$943K	0.33%
3512	HNGRUSDHANGER INC	34,054	$940K	0.33%
3513	ERIIENERGY RECOVERY INC	96,015	$940K	0.33%
3514	—ASHFORD HOSPITALITY TR INC	336,478	$939K	0.33%
3515	BSFAANI PHARMACEUTICALS INC	15,195	$937K	0.33%
3516	CXHMFS INVT GRADE MUN TR	95,825	$936K	0.33%
3517	XNROXNEUBERGER BERMAN RE ES SEC F	167,795	$936K	0.33%
3518	JRSNUVEEN REAL ESTATE INCOME FD	88,164	$936K	0.33%
3519	—MOBILEIRON INC	192,655	$936K	0.33%
3520	ATSG*AIR TRANSPORT SERVICES GRP I	39,845	$935K	0.33%
3521	CUECUE BIOPHARMA INC	58,823	$933K	0.32%
3522	CATHGLOBAL X FDS	23,648	$932K	0.32%
3523	PXLWEURPIXELWORKS INC	237,438	$931K	0.32%
3524	—JOHN HANCOCK ETF TRUST	25,005	$931K	0.32%
3525	ATRIUSDATRION CORP	3,003	$928K	0.32%
3526	SRISTONERIDGE INC	31,592	$926K	0.32%
3527	OBKORIGIN BANCORP INC	24,444	$925K	0.32%
3528	EFTTECHTARGET INC	35,403	$924K	0.32%
3529	BSJPINVESCO EXCH TRD SLF IDX FD	37,216	$923K	0.32%
3530	INSPINSPIRE MED SYS INC	12,428	$922K	0.32%
3531	IDEVOYA INFRASTRUCTURE INDLS &	80,125	$922K	0.32%
3532	RMRRMR GROUP INC	20,203	$922K	0.32%
3533	GCOGENESCO INC	19,201	$921K	0.32%	Put
3534	HWKNHAWKINS INC	20,092	$921K	0.32%
3535	QVCAUSDQURATE RETAIL INC	108,896	$918K	0.32%
3536	—RESTORBIO INC	615,967	$918K	0.32%
3537	TELLEURTELLURIAN INC NEW	126,062	$918K	0.32%	Call
3538	—RA PHARMACEUTICALS INC	19,532	$917K	0.32%
3539	INSWINTERNATIONAL SEAWAYS INC	30,779	$916K	0.32%
3540	—KADMON HLDGS INC	201,871	$915K	0.32%
3541	BLBDBLUE BIRD CORP	39,916	$915K	0.32%
3542	EBIXEUREBIX INC	27,359	$914K	0.32%
3543	PDTHANCOCK JOHN PREMUIM DIV FD	50,828	$914K	0.32%
3544	VECOVEECO INSTRS INC DEL	62,171	$913K	0.32%
3545	HSTMHEALTHSTREAM INC	33,493	$911K	0.32%
3546	MBIMBIA INC	97,991	$911K	0.32%
3547	CHRSCOHERUS BIOSCIENCES INC	50,561	$910K	0.32%	Put
3548	HTHHILLTOP HOLDINGS INC	36,488	$910K	0.32%
3549	ALXALEXANDERS INC	2,754	$910K	0.32%
3550	NMRNOMURA HLDGS INC	175,610	$906K	0.32%
3551	DLPHDELPHI TECHNOLOGIES PLC	70,619	$906K	0.32%
3552	SPXLDIREXION SHS ETF TR	13,684	$904K	0.31%
3553	TUPTUPPERWARE BRANDS CORP	104,992	$901K	0.31%
3554	SIMOSILICON MOTION TECHNOLOGY CO	17,769	$901K	0.31%
3555	—BARCLAYS BK PLC	60,277	$900K	0.31%
3556	—SPARTAN MTRS INC	49,681	$899K	0.31%
3557	STPZPIMCO ETF TR	17,122	$897K	0.31%
3558	ESLTELBIT SYS LTD	5,777	$896K	0.31%
3559	SF9SANDERSON FARMS INC	5,074	$895K	0.31%
3560	BEBLOOM ENERGY CORP	119,821	$895K	0.31%
3561	—NUVEEN INT DUR QUAL MUN TRM	64,192	$891K	0.31%
3562	BKFISHARES INC	19,637	$890K	0.31%
3563	EQIXEQUINIX INC	198,088	$883K	0.31%
3564	VCELVERICEL CORP	50,474	$879K	0.31%
3565	VREXVAREX IMAGING CORP	29,455	$878K	0.31%
3566	—ISHARES TR	33,738	$878K	0.31%
3567	—PORTOLA PHARMACEUTICALS INC	36,687	$877K	0.31%	Call
3568	LBRTLIBERTY OILFIELD SVCS INC	78,715	$875K	0.30%
3569	CXSEWISDOMTREE TR	10,492	$872K	0.30%
3570	YORWYORK WTR CO	18,845	$869K	0.30%
3571	BNYBLACKROCK N Y MUN INCOME TR	61,832	$867K	0.30%
3572	TRHCEURTABULA RASA HEALTHCARE INC	17,801	$867K	0.30%
3573	SPLBSPDR SERIES TRUST	28,760	$866K	0.30%
3574	WOODISHARES TR	12,921	$866K	0.30%
3575	MTRXMATRIX SVC CO	37,803	$865K	0.30%
3576	—EXANTAS CAP CORP	73,061	$863K	0.30%
3577	APLSAPELLIS PHARMACEUTICALS INC	28,171	$863K	0.30%	Call
3578	CNKCINEMARK HOLDINGS INC	25,494	$863K	0.30%
3579	HIFSHINGHAM INSTN SVGS MASS	4,093	$861K	0.30%
3580	DXPEDXP ENTERPRISES INC NEW	21,618	$861K	0.30%
3581	PFOFLAHERTY & CRUMRIN PFD & INM	69,796	$860K	0.30%
3582	NVECNVE CORP	12,028	$859K	0.30%
3583	EOTEATON VANCE NATL MUN OPPORT	39,681	$859K	0.30%
3584	ASIXADVANSIX INC	42,976	$857K	0.30%
3585	RBCAAREPUBLIC BANCORP KY	18,257	$855K	0.30%
3586	MBWMMERCANTILE BANK CORP	23,422	$854K	0.30%
3587	WPRTWESTPORT FUEL SYSTEMS INC	360,524	$854K	0.30%
3588	ECPGENCORE CAP GROUP INC	24,132	$854K	0.30%
3589	FUTYFIDELITY COVINGTON TR	20,147	$852K	0.30%
3590	—NUVEEN PFD & INCOME 2022 TER	33,665	$848K	0.30%
3591	CEVACEVA INC	31,379	$846K	0.29%
3592	—BLACKROCK MUNIENHANCED FD IN	75,822	$846K	0.29%
3593	—TORTOISE ESSENTIAL ASSETS IN	51,601	$846K	0.29%
3594	BIGGQBIG LOTS INC	29,405	$844K	0.29%
3595	ARTNAARTESIAN RESOURCES CORP	22,683	$844K	0.29%
3596	FNKFIRST TR EXCNGE TRD ALPHADEX	23,435	$844K	0.29%
3597	NVEEUSDNV5 GLOBAL INC	16,705	$842K	0.29%
3598	ERHWELLS FARGO UTILITIES AND HI	59,917	$837K	0.29%
3599	WTIW & T OFFSHORE INC	150,080	$834K	0.29%
3600	—PQ GROUP HLDGS INC	48,556	$834K	0.29%

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