13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-12, with 5,794 holding rows worth $502,154,326,000.
- Accession
- 0000019617-19-000258
- Filer
- CIK 19617
- Filed
- 2019-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 20,809 entries on the cover page, a total value of $502,154,326,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $502,154,326,000 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 managerJPMorgan Asset Management (Asia Pacific) 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 |
|---|---|---|---|---|---|---|
| TURNING PT THERAPEUTICS | 90041T108 | COM | 2,177 | $82,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 2,665 | $82,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 3,286 | $82,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 24,071 | $82,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 12,639 | $82,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 13,074 | $82,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 6,458 | $81,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 4,768 | $81,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 3,566 | $81,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 4,281 | $80,000 | thousands by filing date | |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 20,550 | $80,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 5,465 | $80,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 4,488 | $80,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 8,923 | $80,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 5,572 | $80,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,373 | $80,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 3,347 | $80,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 2,300 | $79,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 2,103 | $79,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 882 | $77,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 4,953 | $77,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 10,468 | $77,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 16,300 | $77,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 7,402 | $76,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 2,273 | $76,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 13,161 | $76,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249957 | COM PAR $.01 | 25,000 | $76,000 | thousands by filing date | put |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 2,731 | $76,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464950 | PUT | 19,400 | $76,000 | thousands by filing date | put |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 822 | $75,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 5,607 | $75,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 2,626 | $75,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 2,368 | $75,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 1,400 | $75,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 10,827 | $74,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 2,029 | $74,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908958 | PUT | 500 | $74,000 | thousands by filing date | put |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 10,947 | $73,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 4,635 | $73,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 2,580 | $73,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 6,816 | $73,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 15,462 | $73,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 4,163 | $73,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 5,980 | $73,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 2,300 | $73,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 18,732 | $73,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 4,963 | $73,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 12,650 | $73,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 109,446 | $73,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 1,235 | $72,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 6,028 | $72,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 2,465 | $72,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 13,912 | $72,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 25,250 | $72,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 500 | $71,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 3,932 | $71,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 3,567 | $71,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 10,074 | $70,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 6,127 | $70,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 1,858 | $70,000 | thousands by filing date | |
| ISHARES INC | 464286956 | PUT | 2,600 | $70,000 | thousands by filing date | put |
| GREENHILL & CO INC COM | 395259104 | Stock | 5,338 | $70,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 4,224 | $70,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 5,029 | $70,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 54,000 | $70,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 4,438 | $69,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 741 | $69,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 563 | $69,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 13,474 | $69,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 4,717 | $69,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,499 | $69,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 14,149 | $68,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 11,977 | $68,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 24,589 | $68,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 64,000 | $68,000 | thousands by filing date | principal |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 3,381 | $67,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 4,059 | $67,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 7,123 | $67,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 23,121 | $67,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 5,324 | $67,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 4,524 | $66,000 | thousands by filing date | |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 2,522 | $66,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 30,850 | $66,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 5,493 | $66,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C903 | CALL | 20,000 | $66,000 | thousands by filing date | call |
| ENTEGRA FINL CORP | 29363J108 | COM | 2,210 | $66,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 16,767 | $65,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 6,220 | $65,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 11,831 | $65,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 6,299 | $65,000 | thousands by filing date | |
| ARCONIC INC | 03965L900 | CALL | 2,500 | $65,000 | thousands by filing date | call |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 1,279 | $64,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 4,116 | $64,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 3,001 | $64,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 5,172 | $64,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 8,233 | $64,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 64,000 | $64,000 | thousands by filing date | principal |
| PDL CMNTY BANCORP | 69290X101 | COM | 4,572 | $64,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 12,516 | $63,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 9,260 | $63,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 19,897 | $63,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 2,713 | $63,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 1,857 | $63,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 14,512 | $63,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 22,476 | $63,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 15,206 | $63,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 10,375 | $63,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 1,023 | $62,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 4,510 | $62,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 5,375 | $62,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 4,227 | $62,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 2,467 | $62,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 3,255 | $62,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 66,096 | $62,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 3,172 | $62,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 17,071 | $61,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 4,457 | $61,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 5,950 | $61,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 2,965 | $61,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 3,094 | $61,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 1,062 | $61,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 2,667 | $61,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 1,959 | $61,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 66,947 | $61,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 8,939 | $61,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 5,693 | $61,000 | thousands by filing date | |
| ZAGG INC COMMON STOCK | 98884U958 | Cmn | 9,700 | $61,000 | thousands by filing date | put |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 4,786 | $60,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,892 | $60,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,494 | $60,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 1,530 | $60,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 16,637 | $60,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 6,130 | $60,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 14,319 | $60,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249907 | COM PAR $.01 | 19,900 | $60,000 | thousands by filing date | call |
| TIPTREE INC | 88822Q103 | COM | 8,154 | $59,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 2,900 | $59,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 2,993 | $59,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 5,423 | $59,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 25,034 | $59,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 5,693 | $59,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 3,972 | $59,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 1,699 | $58,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 29,976 | $58,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 19,371 | $58,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,945 | $58,000 | thousands by filing date | |
| ISHARES TR | 464287957 | PUT | 300 | $58,000 | thousands by filing date | put |
| AMYRIS INC | 03236M200 | COM NEW | 12,213 | $58,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 1,548 | $58,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 19,743 | $58,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 2,386 | $58,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 3,010 | $58,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 10,945 | $57,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 25,528 | $57,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 916 | $57,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 3,687 | $57,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 2,585 | $57,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 5,317 | $57,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 25,689 | $57,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 42,788 | $57,000 | thousands by filing date | |
| INTREXON CORP | 46122T952 | PUT | 10,000 | $57,000 | thousands by filing date | put |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 3,737 | $56,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 1,066 | $56,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 1,079 | $56,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 20,277 | $56,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 11,231 | $56,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 4,750 | $56,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 388 | $55,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 3,621 | $55,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 3,595 | $55,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 7,386 | $55,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 16,541 | $55,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 4,312 | $54,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 3,128 | $54,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 406 | $54,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 6,427 | $54,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 2,089 | $54,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,604 | $54,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 4,191 | $54,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 2,477 | $54,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 14,162 | $54,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 17,289 | $53,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 3,316 | $53,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 11,373 | $53,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 3,803 | $53,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 1,500 | $53,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 387 | $53,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 5,802 | $53,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 2,263 | $53,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 1,750 | $52,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 2,541 | $52,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 7,777 | $52,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 5,373 | $52,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 16,499 | $52,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 2,690 | $52,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 930 | $51,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 2,164 | $51,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 22,269 | $51,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 2,432 | $51,000 | thousands by filing date | |
| PHILLIPS 66 | 718546954 | PUT | 500 | $51,000 | thousands by filing date | put |
| SYNTHORX INC COM | 87167A103 | Stock | 3,137 | $51,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 3,101 | $51,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 57,732 | $51,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 1,139 | $51,000 | thousands by filing date | |
| VIRNETX HOLDING CORP CMN STOCK | 92823T958 | Cmn | 9,500 | $51,000 | thousands by filing date | put |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 50,000 | $51,000 | thousands by filing date | principal |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 2,808 | $50,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 1,358 | $50,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 1,428 | $50,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 658 | $50,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 10,038 | $50,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 3,200 | $50,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 9,884 | $50,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 4,836 | $50,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 200 | $49,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 7,726 | $49,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 5,105 | $49,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 3,891 | $49,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 5,742 | $49,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,868 | $49,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 792 | $48,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 1,358 | $48,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 13,132 | $48,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 1,490 | $48,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 4,725 | $48,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 2,025 | $48,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 11,087 | $48,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 2,411 | $48,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 3,065 | $48,000 | thousands by filing date | |
| ACCELERATE DIAGNOSTICS INC | 00430HAB8 | NOTE 2.500% 3/1 | 60,000 | $48,000 | thousands by filing date | principal |
| MALLINCKRODT PUB LTD CO | G5785G957 | PUT | 20,000 | $48,000 | thousands by filing date | put |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 460 | $47,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 3,170 | $47,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C797 | US EQTY PWR BUF | 1,880 | $47,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 430 | $47,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y201 | ADR NEW | 21,007 | $47,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 33,418 | $47,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 23,777 | $47,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 770 | $46,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 3,867 | $46,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 5,431 | $46,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 4,415 | $46,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 23,925 | $46,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 2,458 | $46,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 3,698 | $46,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 510 | $45,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 589 | $45,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 5,347 | $45,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 823 | $45,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,324 | $45,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 12,626 | $45,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,509 | $45,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 2,691 | $45,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 3,471 | $45,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 615 | $44,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 14,074 | $44,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 1,800 | $44,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 935 | $44,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 683 | $44,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,855 | $44,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 975 | $44,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 1,772 | $44,000 | thousands by filing date | |
| AIR PRODUCTS AND CHEMICALS I | 009158956 | COM | 200 | $44,000 | thousands by filing date | put |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 3,827 | $44,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 5,609 | $44,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 71,069 | $44,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 6,765 | $43,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 2,726 | $43,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 6,041 | $43,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 1,035 | $42,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 2,466 | $42,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 46,000 | $42,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 5,136 | $42,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 2,000 | $41,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 13,593 | $41,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 696 | $41,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 1,574 | $41,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 9,157 | $40,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,920 | $40,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 2,383 | $40,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,276 | $40,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 40,148 | $40,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 19,368 | $40,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,437 | $39,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 386 | $39,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 1,023 | $39,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 4,574 | $39,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 7,586 | $39,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 4,938 | $38,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 2,244 | $38,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 3,509 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 542 | $38,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 7,402 | $38,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,889 | $38,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 18,000 | $38,000 | thousands by filing date | principal |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,048 | $38,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 2,212 | $37,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,344 | $37,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 2,841 | $37,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 1,500 | $37,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 14,991 | $37,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 19,837 | $37,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 2,365 | $37,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 8,248 | $37,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 31,699 | $37,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 20,295 | $37,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J742 | RAFI STRATGIC US | 1,406 | $36,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 2,241 | $36,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 2,608 | $36,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 2,766 | $36,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 16,601 | $35,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 4,716 | $35,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 5,150 | $35,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 2,837 | $35,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,978 | $35,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 35,456 | $35,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E958 | COM | 1,100 | $35,000 | thousands by filing date | put |
| STARTEK INC | 85569C107 | COM | 5,441 | $35,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 30,246 | $35,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 14,865 | $35,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 10,200 | $34,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 1,993 | $34,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,536 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,291 | $34,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 2,422 | $34,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y164 | COM NEW | 12,030 | $34,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,398 | $34,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 459 | $33,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 2,306 | $33,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 6,338 | $33,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 868 | $33,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 3,353 | $33,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 5,068 | $33,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 13,093 | $32,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 798 | $32,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 1,739 | $32,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 2,700 | $32,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 2,009 | $32,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 4,839 | $32,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 2,378 | $32,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 11,918 | $32,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS I | 88165N204 | COM NEW | 6,068 | $32,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 1,166 | $31,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 1,892 | $31,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 3,743 | $31,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 1,918 | $31,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 2,240 | $31,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 9,212 | $31,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 251 | $31,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,640 | $30,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,084 | $30,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 982 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 1,068 | $30,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 9,126 | $30,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 966 | $30,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 18,206 | $30,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 2,432 | $30,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 30,000 | $30,000 | thousands by filing date | principal |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 8,239 | $29,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 450 | $29,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 1,621 | $29,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 9,288 | $29,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 2,692 | $29,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 6,000 | $29,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 614 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 1,225 | $28,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J908 | COM | 200 | $28,000 | thousands by filing date | call |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 45,000 | $28,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 4,533 | $27,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 1,050 | $27,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V738 | LARGE CAP VALUE | 693 | $27,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 2,067 | $27,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 386 | $27,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,000 | $27,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 450 | $27,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 4,507 | $27,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 1,100 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 645 | $26,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 2,000 | $26,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 824 | $26,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 40 | $26,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 2,134 | $26,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 14,849 | $26,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 80 | $25,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 906 | $25,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 1,279 | $25,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,706 | $25,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 1,048 | $25,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 16,769 | $25,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 3,004 | $25,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 16,451 | $25,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 1,413 | $24,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 641 | $24,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,213 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 710 | $24,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 10,553 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 1,250 | $24,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 2,700 | $24,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 200 | $24,000 | thousands by filing date | |
| VODAFONE GROUP PLC | 92857W958 | SPONSORED ADR | 1,200 | $24,000 | thousands by filing date | put |
| ANAPTYSBIO INC | 032724906 | CALL | 700 | $24,000 | thousands by filing date | call |
| LEAF GROUP LTD | 52177G102 | COM | 5,667 | $24,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 17,010 | $24,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 18,926 | $24,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 118 | $23,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 403 | $23,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 654 | $23,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 750 | $23,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 1,536 | $23,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 9,000 | $23,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 3,454 | $23,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,487 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 600 | $23,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 3,444 | $23,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 18,800 | $23,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 19,351 | $23,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,200 | $23,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 2,089 | $23,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 4,639 | $23,000 | thousands by filing date | |
| AMYRIS INC | 03236M950 | PUT | 4,900 | $23,000 | thousands by filing date | put |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 1,566 | $22,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 3,747 | $22,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 1,103 | $22,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 1,442 | $22,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 1,211 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 227 | $22,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 11,354 | $22,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 2,320 | $22,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 3,079 | $22,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 894 | $22,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 400 | $21,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 1,600 | $21,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 2,900 | $21,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 5,272 | $21,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 2,581 | $21,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 2,000 | $21,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 1,500 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 1,245 | $21,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 10,505 | $21,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 2,539 | $21,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 468 | $20,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 7,071 | $20,000 | thousands by filing date | |
| Luckin Coffee Inc | 54951L109 | Equity | 1,050 | $20,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 4,659 | $20,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 9,553 | $20,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 8,021 | $20,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F953 | PUT | 8,700 | $20,000 | thousands by filing date | put |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 1,150 | $19,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 168 | $19,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 812 | $19,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 825 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 1,000 | $19,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 1,732 | $19,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 4,498 | $19,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 15,734 | $19,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 1,887 | $18,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 573 | $18,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 500 | $18,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 429 | $18,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 2,271 | $18,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,000 | $18,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 707 | $18,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 4,904 | $18,000 | thousands by filing date | |
| CARLYLE GROUP LP/THE | 14309L952 | Cmn | 700 | $18,000 | thousands by filing date | put |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 637 | $17,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 568 | $17,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 3,369 | $17,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 3,057 | $17,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 11,787 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E497 | DAILY BULL 3X | 531 | $17,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 824 | $16,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 1,452 | $16,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V811 | S&P500 EQL HIG | 227 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 359 | $16,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,964 | $16,000 | thousands by filing date | |
| MAVERIX METALS INC | 57776F405 | COMMON STOCK-FO | 3,930 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 1,013 | $16,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 4,806 | $16,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 760 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 352 | $15,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,044 | $15,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 3,197 | $15,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 430 | $15,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225952 | COM NEW | 4,000 | $15,000 | thousands by filing date | put |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 25,600 | $15,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 30,100 | $15,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 900 | $15,000 | thousands by filing date | |
| MRI INTERVENTIONS INC | 55347P209 | COM NEW | 3,000 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 233 | $14,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 360 | $14,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V639 | AI AND NEXT GEN | 149 | $14,000 | thousands by filing date | |
| WABTEC | 929740958 | PUT | 200 | $14,000 | thousands by filing date | put |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 1,977 | $14,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 5,485 | $14,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 10,000 | $14,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 51,346 | $14,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 6,973 | $14,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 9,946 | $14,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 6,580 | $14,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 10,184 | $14,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-19-000258 | this filing | 2019-11-12 | acceptance time not in the bulk data set |