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UBS Group AG

Q4 2016 Holdings

Filed 2017-02-14 | 13500 holdings | $3.2B | 13F-HR | View on SEC ↗ · Holdings Table ↗

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IssuerClassCUSIPValue ↑Shares% Portfolio
Azurrx Biopharma IncCOM05502L105$36170.0%
Aoxin Tianli Group IncNEW SHSG0404E112$39050.0%
Civista Bancshares Inc6.50% PFD SER B178867206$3450.0%
NTN Buzztime IncCOM PAR629410606$33000.0%
NAM TAI Ppty IncSHSG63907102$33780.0%
Adaptimmune Therapeutics PLC(ADAPY)SPONDS ADR00653A107$37740.0%
Till Cap LTDCOM RST VTG SHSG8875E107$37010.0%
Stillwater MNG CoNOTE 1.750%10/186074QAL6$3$2,0000.0%
Melrose Bancorp IncCOM585553100$31670.0%
Black Diamond IncCOM09202G101$35100.0%
Metabolix IncCOM NEW591018882$38,7610.0%
Wisdomtree TR(XSOE)EM EX ST-OWNED97717X578$31300.0%
Vestin Rlty MTG II IncCOM PAR92549X300$31,5560.0%
Woori BKADR98105T104$3900.0%
CUI Global IncCOM NEW126576206$34000.0%
Sonic Automotive Inc(SAH)CL A83545G102$3910.0%
Monster Digital IncCOM PAR NEW61174L501$31,9170.0%
Avalon Hldgs Corp(AWX)CL A05343P109$31,0890.0%
Optibase LTDSHS NEW NIS0.13M7524R116$33390.0%
Atlanticus Hldgs Corp(ATLC)COM04914Y102$31,0310.0%
Mattel Inc(MAT)CallCOM577081102$31000.0%
Celsion CorporationCOM PAR15117N404$310,9500.0%
Vanguard NAT RES LLCCallCOM UNIT92205F106$34,9000.0%
Xerox CorpCallCOM984121103$33000.0%
Biopharmx CorpCOM09072X101$37,1470.0%
Mosys IncCOM619718109$313,7190.0%
Lucas Energy IncCOM PAR $0.001549333300$32,6870.0%
Nuance Communications IncCallCOM67020Y100$32000.0%
E Compass Acquisition CorpUNIT 99/99/9999G2920Y200$33000.0%
Cinedigm CorpCOM NEW172406209$32,2460.0%
Social Reality IncCOM CL A NEW83362P300$34890.0%
Cleveland Biolabs Inc(CBLIEUR)COM NEW185860202$32,1860.0%
Toll Bros FIN CorpNOTE 0.500% 9/188947EAM2$3$3,0000.0%
China Recycling Energy CorpCOM NEW168913200$31,7920.0%
Smith Micro Software IncCOM NEW832154207$31,8720.0%
Sito Mobile LTD(STTO)COM NEW82988R203$39090.0%
Nextera Energy IncUNIT 09/01/201965339F820$4890.0%
Value Line Inc(VALU)COM920437100$41870.0%
Vertex Energy Inc(VTNRUSD)COM92534K107$43,4580.0%
Vistagen Therapeutics Inc(VTGNUSD)COM NEW92840H202$41,0400.0%
Central FED CorpCOM NEW15346Q202$42,2900.0%
Csop ETF TRFTSE CHINA A5012649L105$42810.0%
Zion Oil & Gas Inc(ZNOG)COM989696109$43,0910.0%
Navios Maritime Hldgs IncSPN ADR RP PFD G63938Y100$45000.0%
Assured Guaranty LTD(AGO)CallCOMG0585R106$41000.0%
Vaneck Vectors ETF TRPOLAND ETF92189F783$42850.0%
Casi Pharmaceuticals Inc(CASIEUR)COM14757U109$43,0640.0%
Ramco-Gershenson Pptys TRCOM SH BEN INT751452202$42570.0%
Smart & Final Stores IncCOM83190B101$43000.0%
Rosetta Genomics LTDSHS NEW NISM82183126$48,6970.0%
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