13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-11, with 5,677 holding rows worth $536,284,675,000.
- Accession
- 0000019617-20-000205
- Filer
- CIK 19617
- Filed
- 2020-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A combination report, 20,985 entries on the cover page, a total value of $536,284,675,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $536,284,675,000 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 |
|---|---|---|---|---|---|---|
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 18,598 | $80,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 5,014 | $79,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908958 | PUT | 500 | $79,000 | thousands by filing date | put |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 10,942 | $79,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 2,580 | $78,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 11,540 | $78,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 6,064 | $78,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 7,131 | $78,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 5,582 | $78,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 9,801 | $78,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 1,235 | $77,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 2,004 | $77,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 10,134 | $77,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 8,207 | $77,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 6,749 | $76,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 36,765 | $76,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 20,115 | $76,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 7,735 | $76,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 5,776 | $76,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770956 | COM | 2,900 | $75,000 | thousands by filing date | put |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 26,000 | $75,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 9,462 | $75,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 18,709 | $75,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 463 | $74,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 2,456 | $74,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 6,101 | $74,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 44,087 | $74,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 4,403 | $73,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 1,275 | $73,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 6,053 | $73,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 209,838 | $73,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 23,857 | $73,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P953 | PUT | 13,400 | $73,000 | thousands by filing date | put |
| ISHARES TR | 464287713 | US TELECOM ETF | 2,413 | $72,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 9,991 | $72,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 1,188 | $71,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 7,777 | $71,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 5,897 | $71,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 3,381 | $71,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 12,787 | $71,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 11,540 | $70,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 4,510 | $70,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 7,854 | $70,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 23,153 | $70,000 | thousands by filing date | |
| QUTOUTIAO INC | 74915J957 | ADS REP SHS A | 20,500 | $70,000 | thousands by filing date | put |
| MALLINCKRODT PUB LTD CO | G5785G957 | PUT | 20,000 | $70,000 | thousands by filing date | put |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 32,575 | $69,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 4,281 | $69,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 14,176 | $69,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 10,840 | $69,000 | thousands by filing date | |
| SLM CORP | 78442P906 | COM | 7,800 | $69,000 | thousands by filing date | call |
| FITBIT INC | 33812L952 | PUT | 10,500 | $69,000 | thousands by filing date | put |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 6,095 | $68,000 | thousands by filing date | |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 20,550 | $68,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 2,667 | $68,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 25,962 | $68,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 67,869 | $68,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 10,289 | $67,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 1,977 | $67,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 4,201 | $67,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 4,252 | $67,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 16,500 | $66,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 917 | $66,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 1,015 | $66,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 11,831 | $66,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 8,233 | $66,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 23,977 | $66,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 23,691 | $66,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 16,633 | $66,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 3,903 | $64,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 5,393 | $64,000 | thousands by filing date | |
| CLARIVATE PLC | G21810109 | ORD SHS | 3,773 | $63,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,769 | $63,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 1,366 | $63,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,580 | $63,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G888 | SHORT TERM ETF | 600 | $63,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 4,236 | $63,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 27,972 | $63,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 144,236 | $63,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 4,302 | $62,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 5,423 | $62,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 1,615 | $62,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 8,741 | $62,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 61,910 | $62,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 1,330 | $61,000 | thousands by filing date | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 1,958 | $61,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 2,983 | $61,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 6,130 | $61,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 6,862 | $61,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 45,382 | $61,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 8,261 | $61,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 778 | $60,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 10,105 | $60,000 | thousands by filing date | |
| VUZIX CORP | 92921W950 | COM NEW | 30,000 | $60,000 | thousands by filing date | put |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 388 | $59,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 608 | $59,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V738 | LARGE CAP VALUE | 1,415 | $59,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 6,663 | $59,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 11,087 | $59,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 2,173 | $59,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 27,755 | $59,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 4,697 | $58,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 1,687 | $58,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 406 | $58,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 1,500 | $58,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 8,561 | $58,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U952 | COM | 4,900 | $58,000 | thousands by filing date | put |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 75,046 | $58,000 | thousands by filing date | |
| TWO HBRS INVT CORP | 90187B958 | PUT | 4,000 | $58,000 | thousands by filing date | put |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 1,750 | $57,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 29,976 | $57,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 930 | $56,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 1,545 | $56,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 3,290 | $56,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 12,932 | $56,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 2,364 | $56,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 2,505 | $56,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 2,264 | $56,000 | thousands by filing date | |
| PHILLIPS 66 | 718546954 | PUT | 500 | $56,000 | thousands by filing date | put |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 2,809 | $56,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 136,369 | $56,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 918 | $55,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 2,541 | $55,000 | thousands by filing date | |
| ORUKA THERAPEUTICS INC COM | 00211Y506 | Stock | 9,684 | $55,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 15,173 | $55,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 4,216 | $55,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 28,366 | $55,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 27,063 | $55,000 | thousands by filing date | |
| INTREXON CORP | 46122T952 | PUT | 10,000 | $55,000 | thousands by filing date | put |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 2,419 | $54,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 10,874 | $54,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 13,593 | $54,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 64,087 | $54,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 25,689 | $54,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 6,035 | $54,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 200 | $53,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 3,644 | $53,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 1,315 | $53,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 1,032 | $53,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 42,788 | $53,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 671 | $52,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 3,500 | $52,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 457 | $52,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 3,603 | $52,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 3,491 | $52,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 7,386 | $52,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 12,440 | $52,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 50,000 | $52,000 | thousands by filing date | principal |
| INVESCO EXCHANGE TRADED FD T | 46137V100 | AEROSPACE DEFN | 748 | $51,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 4,581 | $51,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 27,945 | $51,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 2,455 | $50,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 3,726 | $50,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 20,393 | $50,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 16,865 | $50,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 4,732 | $50,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 9,205 | $50,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 3,170 | $49,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 1,380 | $49,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 3,687 | $49,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,614 | $49,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 6,776 | $49,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 20,277 | $49,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 2,621 | $49,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 26,258 | $49,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 8,730 | $49,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 4,312 | $48,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 2,477 | $48,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 2,277 | $48,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 2,706 | $48,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 40,081 | $48,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 21,888 | $48,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 1,035 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 1,047 | $47,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 975 | $47,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 14,991 | $47,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 6,074 | $47,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 95,042 | $47,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 16,542 | $47,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 2,898 | $46,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 4,524 | $46,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 10,849 | $46,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 683 | $46,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 12,111 | $46,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 10,271 | $46,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 2,306 | $45,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 9,384 | $45,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 823 | $45,000 | thousands by filing date | |
| MIDCAP FINANCIAL INVSTMNT CO | 03761U952 | COM NEW | 2,600 | $45,000 | thousands by filing date | put |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 3,301 | $45,000 | thousands by filing date | |
| ACCELERATE DIAGNOSTICS INC | 00430HAB8 | NOTE 2.500% 3/1 | 60,000 | $45,000 | thousands by filing date | principal |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 24,589 | $45,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 12,386 | $45,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 2,678 | $44,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 3,184 | $44,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 3,233 | $44,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 6,896 | $44,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 22,583 | $44,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,437 | $43,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 513 | $43,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 5,059 | $43,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 203 | $43,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 10,952 | $43,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 7,394 | $43,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 2,950 | $42,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 3,908 | $42,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 18,930 | $42,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 444 | $41,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 4,946 | $41,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 2,300 | $41,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 2,299 | $41,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 19,943 | $41,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 190 | $40,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 1,800 | $40,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 2,337 | $40,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 5,127 | $40,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,384 | $40,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 1,490 | $40,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 5,791 | $40,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q114 | *W EXP 11/20/202 | 13,500 | $40,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 1,075 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 2,000 | $39,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E958 | COM | 1,100 | $39,000 | thousands by filing date | put |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 878 | $39,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 2,365 | $39,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 7,900 | $39,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 966 | $38,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 375 | $38,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,344 | $38,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 2,072 | $38,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 2,327 | $38,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 13,132 | $38,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 9,916 | $38,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 3,353 | $38,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 40,148 | $37,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 18,269 | $37,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 9,140 | $37,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 17,460 | $37,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 14,074 | $36,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 4,723 | $36,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 626 | $36,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 949 | $36,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 37,500 | $36,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 6,005 | $36,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 7,170 | $36,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 2,950 | $36,000 | thousands by filing date | |
| VIRNETX HOLDING CORP CMN STOCK | 92823T958 | Cmn | 9,500 | $36,000 | thousands by filing date | put |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 18,000 | $36,000 | thousands by filing date | principal |
| NEOVASC INC | 64065J304 | COM | 6,634 | $36,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 459 | $35,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 10,553 | $35,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 2,426 | $35,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 2,382 | $35,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C903 | CALL | 20,000 | $35,000 | thousands by filing date | call |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 2,000 | $34,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C540 | US EQTY PWR BUF | 1,265 | $34,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 16,455 | $34,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C557 | US EQTY BUF DEC | 1,265 | $34,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 500 | $34,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 22,925 | $34,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 1,900 | $34,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 3,080 | $33,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 10,425 | $33,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 846 | $33,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 2,137 | $33,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 1,875 | $33,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 7,373 | $33,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,186 | $32,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,500 | $32,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 835 | $31,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 444 | $31,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 4,135 | $31,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 1,918 | $31,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 20,384 | $31,000 | thousands by filing date | |
| B RILEY PRINCIPAL MERGER CORP | 05586Y106 | Com | 3,125 | $31,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 744 | $30,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 2,125 | $30,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 5,136 | $30,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 24,400 | $30,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 579 | $29,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 12,709 | $29,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 305 | $29,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 11,716 | $29,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 5,272 | $29,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 940 | $29,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 846 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 227 | $29,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 2,219 | $29,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 5,547 | $29,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 9,898 | $29,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 4,639 | $29,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,064 | $29,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 11,997 | $29,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 80 | $28,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 952 | $28,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 450 | $28,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 1,624 | $28,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 1,442 | $28,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 10,934 | $28,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 966 | $28,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 4,500 | $27,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 1,079 | $27,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 4,250 | $27,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 66,840 | $27,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 19,351 | $27,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 10,355 | $27,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 17,021 | $27,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 53,796 | $26,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 598 | $26,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 2,700 | $26,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,000 | $26,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 305 | $25,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 958 | $25,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 2,468 | $25,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 6,348 | $25,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 27,000 | $25,000 | thousands by filing date | principal |
| PYXUS INTL INC | 74737V106 | COM | 2,770 | $25,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 30,000 | $25,000 | thousands by filing date | principal |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 403 | $24,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 6,407 | $24,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 3,054 | $24,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 3,075 | $24,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,200 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 428 | $23,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 1,100 | $23,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 430 | $23,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 8,491 | $23,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 2,000 | $22,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 974 | $22,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 825 | $22,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 300 | $22,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 2,581 | $22,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 2,000 | $22,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 1,500 | $22,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 12,677 | $22,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 2,696 | $22,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 2,269 | $22,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 3,346 | $21,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 1,600 | $21,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 965 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 200 | $21,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 3,062 | $21,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 2,265 | $21,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F204 | COM NEW | 7,000 | $21,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 9,000 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 802 | $20,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 3,300 | $20,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 5,000 | $19,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 150 | $19,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 1,421 | $19,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 3,707 | $19,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 2,709 | $19,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F110 | *W EXP 06/12/202 | 8,100 | $19,000 | thousands by filing date | principal |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,200 | $18,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,856 | $18,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 7,082 | $18,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,013 | $18,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 2,623 | $18,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 4,904 | $18,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 4,514 | $18,000 | thousands by filing date | |
| LIMINAL BIOSCIENCES INC | 53272L103 | COM | 2,151 | $18,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 18,797 | $18,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 10,200 | $18,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 10,707 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 352 | $16,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 1,635 | $16,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 486 | $16,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347G309 | ULTRAPRO DOW 30 | 413 | $16,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 199 | $15,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 766 | $15,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 360 | $15,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 1,452 | $15,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 1,829 | $15,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,011 | $15,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 4,037 | $15,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 217 | $15,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 3,268 | $15,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 450 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 471 | $14,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 654 | $14,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 109 | $14,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 650 | $14,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,652 | $14,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 18,800 | $14,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 507 | $14,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 15,439 | $14,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 568 | $14,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 15,000 | $14,000 | thousands by filing date | principal |
| WAITR HLDGS INC | 930752100 | COM | 44,646 | $14,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 26,472 | $14,000 | thousands by filing date | |
| MRI INTERVENTIONS INC | 55347P209 | COM NEW | 3,000 | $14,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 4,300 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 95 | $13,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 304 | $13,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 815 | $13,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 1,518 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 200 | $13,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 367 | $13,000 | thousands by filing date | |
| NEWELL BRANDS INC | 651229906 | COM NEW | 700 | $13,000 | thousands by filing date | call |
| ANAPTYSBIO INC | 032724906 | CALL | 800 | $13,000 | thousands by filing date | call |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 4,331 | $13,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 6,680 | $13,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,880 | $13,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 706 | $12,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 954 | $12,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 9,960 | $12,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 17,519 | $12,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 4,806 | $12,000 | thousands by filing date | |
| CERENCE INC COM | 156727109 | Stock | 486 | $11,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 768 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 797 | $11,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 721 | $11,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 608 | $11,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 7,654 | $11,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 3,287 | $11,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 447 | $11,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 27,724 | $11,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 258 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 142 | $10,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 680 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 636 | $10,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 4,510 | $10,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,356 | $10,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 5,000 | $10,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 700 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 414 | $10,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 665 | $9,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 662 | $9,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 533 | $9,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 353 | $9,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 11,412 | $9,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 2,014 | $9,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 900 | $9,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 980 | $9,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 7,255 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 677 | $9,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 2,967 | $9,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 7,655 | $9,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 1,007 | $8,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 170 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 253 | $8,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 840 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 593 | $8,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V597 | RAFI US 1500 | 56 | $8,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 750 | $8,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,507 | $8,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 578 | $8,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 900 | $8,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 797 | $8,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 3,374 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 500 | $8,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 550 | $8,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 9,962 | $8,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 5,447 | $8,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 2,520 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K299 | LTN AM BL 3X NEW | 350 | $8,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 277 | $7,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 164 | $7,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 234 | $7,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 75 | $7,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 601 | $7,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 477 | $7,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 1,900 | $7,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 587 | $7,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 371 | $7,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 287 | $7,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 670 | $7,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 1,360 | $7,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 4,262 | $7,000 | thousands by filing date | |
| FIRST SEACOAST BANCORP | 33631P102 | COM | 717 | $7,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 16,700 | $7,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 151 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 134 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 303 | $6,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 383 | $6,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 431 | $6,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 424 | $6,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 474 | $6,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 484 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,328 | $6,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 167 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 160 | $6,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 322 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 181 | $6,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 1,000 | $6,000 | thousands by filing date | principal |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 700 | $6,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 400 | $6,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 8,000 | $6,000 | thousands by filing date | principal |
| CELSION CORP | 15117N503 | COM PAR NEW | 3,700 | $6,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 5,535 | $6,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 99 | $5,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 103 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 100 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 100 | $5,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 1,546 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 395 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 367 | $5,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 378 | $5,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 361 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-20-000205 | this filing | 2020-02-11 | acceptance time not in the bulk data set |