13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-11, with 5,794 holding rows worth $432,488,323,000.
- Accession
- 0000019617-19-000014
- Filer
- CIK 19617
- Filed
- 2019-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A combination report, 21,576 entries on the cover page, a total value of $432,488,323,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $432,488,323,000 with VALUE read as thousands by filing date, 13F file number 028-00694. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerRussell Investments Group, Ltd.028-17598
- included managerJ.P. Morgan Trust Co of Delaware028-12125
- included managerJPMorgan Chase Bank, N.A.028-00123
- included managerJ.P. Morgan Investment Management Inc.028-11937
- included managerJ.P. Morgan Securities LLC028-11925
- included managerJ.P. Morgan Securities plc028-12006
- included managerJ.P. Morgan Whitefriars LLC028-12007
- included managerJPMorgan Asset Management (UK) Ltd028-11947
- included managerJPMorgan Asset Management (Canada) Inc.028-14957
- included managerJ.P. Morgan Private Investments Inc.028-16931
- included managerJ.P. Morgan (Suisse) SA028-17025
- included managerJ.P. Morgan GT Corp028-17027
- included managerJF Asset Management Ltd028-17029
- included managerJPMorgan Asset Management (Japan) Ltd028-14958
- included managerJPMorgan Asset Management (Singapore) Ltd028-17030
- included managerJPMorgan Asset Management (Taiwan) Ltd028-17031
- included managerJPMorgan Funds (Asia) Ltd028-17032
- included managerMLP Investment Holdings, Inc.028-17033
- included managerJ.P. Morgan International Bank Ltd028-17034
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 |
|---|---|---|---|---|---|---|
| ALICO INC | 016230104 | COM | 2,324 | $69,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,892 | $69,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 2,383 | $69,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 7,222 | $69,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 5,728 | $69,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 4,787 | $68,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 2,594 | $68,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 2,246 | $68,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 10,979 | $68,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 24,192 | $67,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 27,925 | $67,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,373 | $67,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 2,723 | $66,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 2,583 | $66,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 30,406 | $66,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 1,235 | $65,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 3,200 | $65,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 21,654 | $65,000 | thousands by filing date | |
| MCDERMOTT INTL INC CALL | 580037903 | CALL | 10,000 | $65,000 | thousands by filing date | call |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 6,647 | $64,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 3,918 | $64,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 2,807 | $64,000 | thousands by filing date | |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 2,522 | $63,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 5,738 | $63,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 2,907 | $63,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 33,687 | $63,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 64,000 | $63,000 | thousands by filing date | principal |
| SIMULATIONS PLUS INC | 829214105 | COM | 3,158 | $62,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 21,753 | $62,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 2,686 | $62,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 4,289 | $62,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 4,026 | $62,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 2,985 | $62,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 24,601 | $62,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 2,066 | $61,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,813 | $61,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 3,516 | $61,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L953 | COM | 3,900 | $61,000 | thousands by filing date | put |
| DRIVE SHACK INC | 262077100 | COM | 15,446 | $61,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 26,003 | $61,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 3,095 | $61,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 8,507 | $61,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 36,819 | $61,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 2,615 | $60,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 7,072 | $60,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 5,775 | $59,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 4,638 | $59,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 701 | $59,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 4,825 | $59,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 3,021 | $59,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 8,668 | $59,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 13,651 | $59,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 2,218 | $59,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 3,708 | $59,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 2,580 | $59,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 24,220 | $58,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 3,054 | $58,000 | thousands by filing date | |
| AXA EQUITABLE HLDGS INC | 054561105 | COM | 3,474 | $58,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 2,439 | $57,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 2,040 | $57,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 2,379 | $57,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 2,326 | $57,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,416 | $57,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 2,515 | $57,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 2,502 | $57,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 8,108 | $56,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 3,808 | $56,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 2,275 | $56,000 | thousands by filing date | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 2,028 | $56,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 21,768 | $56,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 3,058 | $55,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,189 | $55,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 3,854 | $55,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 5,341 | $54,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 2,293 | $54,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 1,613 | $54,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 1,959 | $54,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 1,780 | $53,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 825 | $53,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 2,903 | $53,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 2,200 | $53,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,122 | $53,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 22,245 | $53,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 18,661 | $53,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 1,926 | $53,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 25,469 | $53,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 2,786 | $53,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 5,773 | $52,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 2,857 | $52,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 23,423 | $52,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,963 | $52,000 | thousands by filing date | |
| GARRETT MOTION INC | 35906A906 | COM | 21,900 | $52,000 | thousands by filing date | call |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 6,150 | $51,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,552 | $51,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 4,927 | $51,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 5,421 | $51,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 5,353 | $51,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 5,494 | $51,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,943 | $51,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 12,755 | $51,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 4,219 | $50,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 4,721 | $50,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 9,703 | $50,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 4,817 | $50,000 | thousands by filing date | |
| TELADOC HEALTH INC CALL | 87918A905 | OPTION | 1,000 | $50,000 | thousands by filing date | call |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 388 | $49,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 1,572 | $49,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 3,050 | $49,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 1,100 | $49,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 3,616 | $49,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,957 | $49,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 5,684 | $49,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 5,983 | $49,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 3,029 | $48,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 1,972 | $48,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 1,515 | $48,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 7,847 | $48,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 3,774 | $48,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 1,500 | $48,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 5,339 | $48,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 3,340 | $48,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 8,421 | $48,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q901 | Cmn | 30,000 | $48,000 | thousands by filing date | call |
| AQUANTIA CORP | 03842Q108 | COM | 5,503 | $48,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 10,980 | $48,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 6,306 | $48,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,745 | $48,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,621 | $47,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 2,774 | $47,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 5,527 | $47,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 2,246 | $47,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 1,658 | $47,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 3,253 | $47,000 | thousands by filing date | |
| PACIFIC CITY FINANCIAL CORP | 69406T408 | COM NEW | 3,027 | $47,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 11,851 | $46,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 2,581 | $46,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 3,522 | $46,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,737 | $45,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 1,750 | $45,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 6,266 | $45,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 3,913 | $45,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,745 | $45,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 1,318 | $45,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 1,187 | $45,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 17,426 | $45,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 1,969 | $45,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 3,170 | $44,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 792 | $44,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 7,725 | $44,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 27,377 | $44,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 19,958 | $44,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 5,281 | $44,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 14,058 | $44,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 5,429 | $44,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 19,082 | $44,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 8,763 | $44,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H902 | CALL | 80,700 | $44,000 | thousands by filing date | call |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 4,369 | $43,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 2,379 | $43,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 1,811 | $43,000 | thousands by filing date | |
| FORTIVE CORP | 34959J207 | PREFERRED | 48 | $43,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 5,300 | $42,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,190 | $42,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES | N53745950 | NV PUT | 500 | $42,000 | thousands by filing date | put |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,192 | $42,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 10,442 | $42,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 979 | $42,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,657 | $42,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 28,965 | $42,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 10,167 | $41,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 823 | $41,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 750 | $41,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 7,431 | $41,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,974 | $41,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 1,664 | $41,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 3,821 | $41,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 1,035 | $40,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 37,778 | $40,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 1,586 | $40,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 8,624 | $40,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 818 | $40,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 6,524 | $40,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 30,020 | $40,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 3,169 | $40,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 1,704 | $39,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E370 | S&P 500 HB ETF | 1,091 | $39,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 2,481 | $39,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 2,157 | $39,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,628 | $39,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 1,193 | $39,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 7,787 | $39,000 | thousands by filing date | |
| PRECIGEN INC | 46122TAA0 | NOTE 3.500% 7/0 | 55,000 | $39,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 12,451 | $39,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 900 | $38,000 | thousands by filing date | |
| INCYTE CORP | 45337C902 | COM | 600 | $38,000 | thousands by filing date | call |
| Bowater Inc | 09066L105 | COMMON STOCKS | 41,001 | $38,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 3,936 | $38,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 3,630 | $38,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 2,000 | $37,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 4,292 | $37,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 52,368 | $37,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 7,523 | $37,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 1,485 | $36,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 2,841 | $36,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 2,435 | $36,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 4,047 | $36,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 10,096 | $36,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 2,833 | $36,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 4,379 | $36,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 11,314 | $36,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 7,266 | $35,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 2,639 | $35,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,412 | $35,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 2,111 | $35,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 6,448 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 899 | $34,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 8,530 | $34,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 9,830 | $34,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 3,053 | $34,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,356 | $34,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,975 | $34,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 4,328 | $34,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,041 | $34,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 25,815 | $34,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V183 | S&P SML 600 EQ | 703 | $34,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 14,048 | $34,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 5,949 | $34,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 4,893 | $34,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 2,631 | $34,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 2,553 | $34,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 31,689 | $34,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 53,500 | $33,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V597 | RAFI US 1500 | 286 | $33,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 978 | $33,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,399 | $33,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 29,567 | $33,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 19,577 | $33,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 2,129 | $33,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,322 | $33,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 4,062 | $33,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 621 | $32,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 2,071 | $32,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 718 | $32,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 2,009 | $32,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 8,967 | $32,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 81,979 | $32,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,921 | $32,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 4,207 | $32,000 | thousands by filing date | |
| BUCKEYE PARTNERS -LP | 118230901 | Cmn | 1,100 | $32,000 | thousands by filing date | call |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 7,936 | $32,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 443 | $31,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 2,714 | $31,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 1,315 | $31,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 8,056 | $31,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 5,307 | $31,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 1,537 | $31,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 8,053 | $31,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 11,212 | $31,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 4,514 | $30,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,290 | $30,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 3,029 | $30,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 970 | $30,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 9,302 | $30,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H905 | CALL | 400 | $30,000 | thousands by filing date | call |
| Fluent Co | 34380C102 | COM | 8,323 | $30,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 2,015 | $30,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 2,023 | $30,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 1,634 | $29,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 3,886 | $29,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 1,900 | $29,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 30,439 | $29,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 1,709 | $29,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 2,378 | $28,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 1,000 | $28,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 544 | $28,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,523 | $28,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 484 | $28,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,045 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,291 | $28,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 2,000 | $28,000 | thousands by filing date | |
| AKEBIA THREAPEUTICS INC | 00972D905 | COM | 5,000 | $28,000 | thousands by filing date | call |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 540 | $28,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,283 | $28,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 1,247 | $27,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 1,225 | $27,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,894 | $27,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 786 | $27,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 7,722 | $27,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 7,944 | $27,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 12,136 | $27,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 232 | $27,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 45,000 | $27,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 1,513 | $27,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 2,306 | $26,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 1,394 | $26,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 6,192 | $26,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 1,854 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 835 | $26,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 13,000 | $26,000 | thousands by filing date | principal |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 2,445 | $26,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 2,017 | $26,000 | thousands by filing date | |
| NAVIOS MARITIME CHG CONTAINERS LP UNIT REPSTG LP INT | Y62151108 | COM UNIT RP LP | 9,710 | $26,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 1,213 | $25,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 550 | $25,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 1,766 | $25,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 786 | $25,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,346 | $25,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 2,143 | $25,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 1,100 | $24,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 4,301 | $24,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,339 | $24,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,873 | $24,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 6,495 | $24,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 3,700 | $24,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 5,265 | $24,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 4,480 | $24,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 4,500 | $23,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 2,153 | $23,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,298 | $23,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 3,633 | $23,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 801 | $23,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 7,857 | $23,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P953 | PUT | 3,900 | $23,000 | thousands by filing date | put |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 3,009 | $23,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 4,187 | $23,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R129 | *W EXP 99/99/999 | 31,434 | $23,000 | thousands by filing date | principal |
| FRONTIER COMMUNICATIONS CORP | 35906A956 | PUT | 9,744 | $23,000 | thousands by filing date | put |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 7,621 | $22,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 2,100 | $22,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 1,918 | $22,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 4,822 | $22,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 2,180 | $22,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 2,936 | $22,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 25,434 | $22,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E115 | S&P SMLCP INFO | 308 | $21,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 728 | $21,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 336 | $21,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V811 | S&P500 EQL HIG | 389 | $21,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 2,000 | $21,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 4,516 | $21,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 4,863 | $21,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 1,480 | $21,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 5,621 | $21,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 14,905 | $21,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 7,472 | $21,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 58,537 | $21,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 5,834 | $20,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 1,536 | $20,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 592 | $20,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 2,859 | $20,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 288 | $20,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 11,167 | $20,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 3,401 | $20,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,411 | $20,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,000 | $20,000 | thousands by filing date | |
| INTUIT | 461202953 | COM | 100 | $20,000 | thousands by filing date | put |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 13,934 | $20,000 | thousands by filing date | |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 200 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 300 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 727 | $19,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 1,566 | $19,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 1,910 | $19,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 500 | $19,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 1,160 | $19,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 2,505 | $19,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 6,057 | $19,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 894 | $19,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 13,863 | $19,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 4,901 | $19,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 15,353 | $19,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 1,600 | $18,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 2,581 | $18,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 1,500 | $18,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 4,536 | $18,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,261 | $18,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 3,486 | $18,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 850 | $17,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 4,256 | $17,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 750 | $17,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 9,070 | $17,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 633 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 117 | $16,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N824 | VCSHS US EQ INCM | 381 | $16,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 3,580 | $16,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V571 | GLOBAL DRGN CN | 509 | $16,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 812 | $16,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 429 | $16,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 7,888 | $16,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 19,450 | $16,000 | thousands by filing date | |
| GOPRO INC | 38268TAB9 | NOTE 3.500% 4/1 | 19,000 | $16,000 | thousands by filing date | principal |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 900 | $15,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 1,500 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 352 | $15,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 295 | $15,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 3,325 | $15,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 522 | $15,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N782 | CMN | 334 | $15,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 6,904 | $15,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 14,746 | $15,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 6,145 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A178 | ULTRAPRO DOW 30 | 807 | $15,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 3,575 | $15,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 1,836 | $15,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 553 | $14,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 2,646 | $14,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 1,457 | $14,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 1,033 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 285 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 400 | $14,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 554 | $14,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 2,100 | $14,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 540 | $14,000 | thousands by filing date | |
| MALLINCKRODT PUB LTD CO | G5785G907 | COM | 900 | $14,000 | thousands by filing date | call |
| TELIGENT INC NEW | 87960W104 | COM | 10,507 | $14,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 450 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 680 | $13,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 3,437 | $13,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 1,554 | $13,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 5,685 | $13,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 269 | $13,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 4,062 | $13,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 12,620 | $13,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 5,128 | $13,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 3,213 | $13,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 5,727 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 500 | $13,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 2,055 | $13,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 23,805 | $13,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 1,343 | $13,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,299 | $13,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,844 | $13,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 1,408 | $12,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 760 | $12,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 270 | $12,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 1,240 | $12,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 816 | $12,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 4,700 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 349 | $12,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 2,428 | $12,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 5,261 | $12,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 344 | $11,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 999 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 222 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 95 | $11,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 1,999 | $11,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 4,321 | $11,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 780 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 200 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 581 | $11,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 2,000 | $11,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 364 | $11,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932957 | COM | 300 | $11,000 | thousands by filing date | put |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 205 | $11,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,934 | $11,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 7,442 | $11,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,021 | $11,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,893 | $11,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N957 | COM | 2,900 | $11,000 | thousands by filing date | put |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,670 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 240 | $10,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 3,040 | $10,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 446 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 225 | $10,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,393 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 226 | $10,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 1,704 | $10,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 11,526 | $10,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 11,506 | $10,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 25,005 | $10,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 1,542 | $10,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 8,019 | $10,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 668 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 172 | $9,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 336 | $9,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 650 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 150 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 235 | $9,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 2,063 | $9,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 1,373 | $9,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 4,491 | $9,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 6,310 | $9,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 10,444 | $9,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 607 | $9,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 335 | $9,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 900 | $9,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 4,983 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 400 | $9,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 5,459 | $9,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 139 | $8,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 686 | $8,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 1,335 | $8,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 454 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 75 | $8,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 474 | $8,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 371 | $8,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 334 | $8,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 2,169 | $8,000 | thousands by filing date | |
| FLEX LTD | Y2573F902 | CALL | 1,000 | $8,000 | thousands by filing date | call |
| NAM TAI PROPERTY INC | G63907102 | Com | 951 | $8,000 | thousands by filing date | |
| INVESCO | 46138J882 | EXCHANGE TRADED | 365 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-19-000014 | this filing | 2019-02-11 | acceptance time not in the bulk data set |