13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-11, with 5,603 holding rows worth $518,170,854,000.
- Accession
- 0000019617-20-000375
- Filer
- CIK 19617
- Filed
- 2020-08-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A combination report, 22,749 entries on the cover page, a total value of $518,170,854,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $518,170,854,000 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 |
|---|---|---|---|---|---|---|
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 11,181 | $120,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 4,928 | $120,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 49,127 | $120,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 24,397 | $120,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 5,024 | $119,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 15,211 | $119,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 4,497 | $119,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 33,086 | $119,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 8,177 | $118,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 11,263 | $118,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C391 | US EQTY BUFR MAR | 4,372 | $118,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 36,429 | $118,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 21,534 | $118,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 10,174 | $118,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 6,043 | $117,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908951 | SMALL CP ETF | 800 | $117,000 | thousands by filing date | put |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 204,700 | $117,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 3,408 | $117,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 53,177 | $117,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 4,226 | $117,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 22,122 | $117,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 47,171 | $117,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 1,580 | $116,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 8,382 | $116,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 2,375 | $115,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 1,648 | $115,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 7,722 | $115,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 11,598 | $115,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 22,326 | $115,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 122,784 | $115,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C383 | US EQTY PWR BUF | 4,255 | $114,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 4,778 | $114,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 8,418 | $114,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 6,425 | $114,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 5,483 | $114,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 24,773 | $114,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 6,383 | $113,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 4,669 | $113,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 12,899 | $113,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 4,691 | $112,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 3,775 | $112,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 28,537 | $112,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E198 | S&P MIDCP LOW | 2,696 | $112,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 19,890 | $112,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 5,005 | $112,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 4,908 | $111,000 | thousands by filing date | |
| CLARIVATE PLC | G21810109 | ORD SHS | 4,990 | $111,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 1,698 | $111,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 10,740 | $111,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 24,223 | $111,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A952 | INF TECH ETF | 400 | $111,000 | thousands by filing date | put |
| SB FINL GROUP INC | 78408D105 | COM | 6,529 | $109,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 18,377 | $108,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 8,121 | $108,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 547 | $108,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 110,216 | $108,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,007 | $108,000 | thousands by filing date | |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 28,711 | $107,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 9,886 | $107,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 5,458 | $107,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 5,453 | $107,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 10,133 | $106,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 3,193 | $106,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 7,464 | $106,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 2,585 | $106,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 4,716 | $105,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 13,088 | $105,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 105,012 | $105,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 16,165 | $105,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 9,990 | $104,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 15,513 | $104,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 9,223 | $104,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 977 | $103,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 37,299 | $103,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 8,093 | $102,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 4,360 | $102,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 10,442 | $102,000 | thousands by filing date | |
| ADAPTHEALTH CORP | 00653Q102 | COMMON STOCK | 6,355 | $102,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 6,056 | $102,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 6,429 | $102,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 111,000 | $102,000 | thousands by filing date | principal |
| QUANTUM CORP | 747906501 | COM | 26,306 | $102,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 8,238 | $102,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 1,920 | $101,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C318 | US EQTY PWR BUF | 3,785 | $101,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 7,948 | $101,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 5,790 | $101,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 22,717 | $101,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 7,053 | $101,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 6,216 | $101,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 24,395 | $101,000 | thousands by filing date | |
| MEDTRONIC PLC | G5960L903 | CALL | 1,100 | $101,000 | thousands by filing date | call |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 291,257 | $101,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 23,675 | $101,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 8,970 | $101,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 21,881 | $101,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 16,679 | $100,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 33,878 | $100,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 12,208 | $100,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 3,829 | $99,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733R902 | CALL | 100 | $99,000 | thousands by filing date | call |
| ORGENESIS INC | 68619K204 | COM | 16,231 | $99,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 6,868 | $98,000 | thousands by filing date | |
| PHILIP MORRIS INTL INC | 718172909 | CALL | 1,400 | $98,000 | thousands by filing date | call |
| ASPEN GROUP INC | 04530L203 | COM NEW | 10,827 | $98,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 40,189 | $97,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 8,089 | $97,000 | thousands by filing date | |
| ARCUTIS BIOTHERAPEUTICS INC | 03969K108 | COM | 3,199 | $96,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 3,546 | $96,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 10,580 | $96,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 10,532 | $96,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 5,453 | $96,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 4,600 | $96,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 17,041 | $95,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 9,741 | $95,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 5,354 | $95,000 | thousands by filing date | |
| GOGO INC | 38046C959 | COM | 30,000 | $95,000 | thousands by filing date | put |
| VERASTEM INC | 92337C104 | COM | 55,027 | $95,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 114,827 | $95,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 2,995 | $94,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 783 | $94,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 7,039 | $94,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 2,425 | $94,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 100,000 | $94,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393950 | PUT | 11,400 | $93,000 | thousands by filing date | put |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 8,255 | $92,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 2,264 | $92,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 5,522 | $92,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 15,952 | $92,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 3,900 | $91,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 6,778 | $91,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 8,298 | $91,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 20,662 | $90,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 4,624 | $90,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 3,484 | $89,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 29,426 | $89,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 31,752 | $89,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 13,964 | $88,000 | thousands by filing date | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 2,343 | $88,000 | thousands by filing date | |
| ORACLE CORP | 68389X955 | PUT | 1,600 | $88,000 | thousands by filing date | put |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 89,295 | $88,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 39,804 | $88,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 6,579 | $87,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 21,939 | $87,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 3,468 | $87,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 9,406 | $87,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 4,750 | $87,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 10,438 | $87,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 8,873 | $86,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 6,292 | $86,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 39,093 | $86,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 15,693 | $86,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 681 | $85,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 4,496 | $85,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 3,778 | $85,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 7,183 | $85,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 3,458 | $85,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 28,011 | $85,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 6,504 | $85,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 5,055 | $85,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 8,483 | $84,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 43,332 | $84,000 | thousands by filing date | |
| INVESCO S&P 500 EQUAL WEIGHT ENERGY ETF | 46137V365 | ETF | 3,000 | $84,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 1,700 | $84,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 6,541 | $83,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G849 | DAILY 20 YR TREA | 1,614 | $83,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 1,904 | $83,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 7,800 | $82,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 6,162 | $82,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 5,741 | $82,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 2,898 | $82,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 2,590 | $81,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 5,102 | $81,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 10,166 | $81,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 23,307 | $81,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 23,218 | $81,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 40,832 | $81,000 | thousands by filing date | |
| ONECONNECT FINL TECHNOLOGY C | 68248T105 | ADR | 4,408 | $80,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 5,825 | $80,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 5,474 | $79,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 9,173 | $79,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 11,944 | $79,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 10,141 | $79,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 191,000 | $78,000 | thousands by filing date | principal |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 75,000 | $78,000 | thousands by filing date | principal |
| INVESCO BULLETSHARES 2021 HIGH | 46138J809 | BULSHS 2021 HY | 3,408 | $77,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 14,170 | $77,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 10,656 | $77,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 710 | $76,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 6,126 | $76,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 5,014 | $75,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 1,508 | $75,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 19,230 | $75,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 27,932 | $75,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 8,199 | $74,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 51,791 | $74,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 3,194 | $74,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 74,870 | $74,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 91,800 | $74,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 65,166 | $74,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 6,850 | $74,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 700 | $73,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 8,208 | $73,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 23,391 | $73,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 40,105 | $72,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 12,414 | $72,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 9,638 | $72,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 13,715 | $72,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 15,905 | $71,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 14,956 | $71,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 36,865 | $71,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L114 | *W EXP 08/02/202 | 141,000 | $71,000 | thousands by filing date | principal |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 34,291 | $70,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 3,865 | $70,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 5,649 | $70,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 7,754 | $70,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 10,498 | $70,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 18,302 | $70,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 3,964 | $70,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,614 | $70,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 76,000 | $70,000 | thousands by filing date | principal |
| PDL CMNTY BANCORP | 69290X101 | COM | 6,832 | $70,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C117 | *W EXP 09/01/202 | 69,676 | $70,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189H805 | RARE EAR STR ETF | 2,008 | $69,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 2,580 | $69,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 7,982 | $69,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 4,584 | $69,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 4,556 | $69,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 9,883 | $69,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 24,451 | $69,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 30,155 | $69,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 32,783 | $69,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S108 | *W EXP 11/30/202 | 48,029 | $69,000 | thousands by filing date | principal |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 811 | $68,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 6,709 | $68,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 2,724 | $68,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 22,091 | $68,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 6,762 | $68,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 2,746 | $68,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 2,985 | $68,000 | thousands by filing date | |
| FITBIT INC | 33812L952 | PUT | 10,500 | $68,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 6,077 | $67,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 45,867 | $67,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 4,844 | $67,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 7,387 | $67,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 7,507 | $67,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 25,617 | $67,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 4,873 | $66,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 23,329 | $66,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 12,322 | $66,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 25,376 | $66,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 8,557 | $65,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 4,869 | $65,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C888 | US EQT BUFR APR | 2,347 | $65,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 22,808 | $65,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 47,911 | $65,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 17,922 | $65,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 8,665 | $64,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 108 | $64,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 11,964 | $64,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 55,370 | $64,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 1,262 | $63,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 633 | $63,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 4,854 | $63,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 55,625 | $63,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 13,180 | $63,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 3,088 | $63,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 39,396 | $63,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 9,927 | $63,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 2,384 | $62,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 374 | $62,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 8,026 | $62,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 576 | $62,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 4,533 | $62,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 2,524 | $61,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 2,061 | $61,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 11,421 | $61,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 11,171 | $61,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 7,265 | $61,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 5,335 | $61,000 | thousands by filing date | |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 20,566 | $61,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 3,799 | $61,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 2,724 | $61,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 3,000 | $61,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 8,556 | $61,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 15,859 | $61,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 3,871 | $61,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 6,882 | $61,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 27,615 | $61,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 4,642 | $61,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 6,153 | $60,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 3,924 | $60,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 1,930 | $60,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 15,353 | $60,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 5,522 | $60,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 6,084 | $60,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 4,314 | $60,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 10,245 | $60,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 6,803 | $60,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 200 | $59,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 20,251 | $59,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 950 | $59,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 39,229 | $59,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 2,146 | $59,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 47,466 | $58,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 2,574 | $58,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 1,922 | $58,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 8,343 | $58,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 7,199 | $58,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 5,409 | $58,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 4,045 | $57,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 16,561 | $57,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 1,460 | $57,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 4,404 | $57,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 11,876 | $57,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,554 | $57,000 | thousands by filing date | |
| DELMAR BANCORP | 247035207 | COM NEW | 8,575 | $57,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 4,497 | $56,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 2,857 | $56,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 28,946 | $56,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 6,486 | $56,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 742 | $55,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 1,319 | $55,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 2,179 | $55,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 1,202 | $55,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 2,969 | $54,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 1,330 | $54,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 3,797 | $54,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 12,607 | $54,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 2,009 | $54,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 29,377 | $54,000 | thousands by filing date | |
| BLACKROCK INC | 09247X901 | COM | 100 | $54,000 | thousands by filing date | call |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 6,809 | $53,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 2,716 | $52,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 4,234 | $52,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 16,783 | $52,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 5,296 | $52,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 32,435 | $51,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 7,140 | $51,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 5,494 | $51,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 22,305 | $50,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 1,399 | $50,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 5,635 | $50,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 7,064 | $50,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 11,246 | $50,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 388 | $49,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 322 | $49,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 11,282 | $49,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 1,500 | $49,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 3,000 | $49,000 | thousands by filing date | |
| ALECTOR INC | 014442957 | PUT | 2,000 | $49,000 | thousands by filing date | put |
| FONAR CORP | 344437405 | COM NEW | 2,327 | $49,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 11,162 | $49,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 14,726 | $49,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 50,000 | $49,000 | thousands by filing date | principal |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 823 | $48,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 6,569 | $48,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 6,999 | $48,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 2,256 | $48,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 4,089 | $48,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 993 | $47,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 1,708 | $47,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 8,202 | $47,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 4,797 | $47,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 1,304 | $46,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 836 | $46,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,475 | $46,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 6,255 | $46,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 5,315 | $46,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 783 | $45,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 6,739 | $45,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 21,043 | $45,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 1,544 | $45,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 1,245 | $45,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 4,384 | $45,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,608 | $45,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 10,651 | $45,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 2,511 | $45,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 32,779 | $45,000 | thousands by filing date | principal |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 7,476 | $45,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 23,021 | $45,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 29,775 | $45,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 2,043 | $44,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 9,070 | $44,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 4,741 | $44,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 3,544 | $44,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 14,747 | $44,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 7,852 | $44,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X105 | CL A | 2,661 | $44,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 7,517 | $44,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 2,779 | $43,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 2,380 | $43,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 4,821 | $43,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 8,595 | $43,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 3,605 | $43,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 1,359 | $42,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 3,141 | $42,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 1,697 | $42,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J908 | COM | 1,000 | $42,000 | thousands by filing date | call |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 1,035 | $41,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 8,374 | $41,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 3,891 | $41,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 8,000 | $41,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 3,300 | $41,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 253 | $41,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 20,191 | $41,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,936 | $41,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 12,758 | $41,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 29,480 | $41,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 11,235 | $41,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 50,000 | $41,000 | thousands by filing date | principal |
| SEACHANGE INTL INC | 811699107 | COM | 27,678 | $41,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 7,497 | $41,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 8,282 | $41,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 2,796 | $40,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 2,918 | $40,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 1,010 | $40,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 6,240 | $40,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 6,695 | $40,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 1,050 | $39,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 7,375 | $39,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 15,656 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 210 | $39,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 6,669 | $39,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 16,664 | $39,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 6,068 | $39,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 1,900 | $39,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 361 | $38,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,268 | $38,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 1,139 | $38,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 11,448 | $38,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 3,357 | $38,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 12,109 | $37,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 5,968 | $37,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 7,073 | $37,000 | thousands by filing date | |
| INTL GNRL INSURANCE HLDNGS L | G4809J106 | SHS | 5,300 | $37,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 12,513 | $37,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 4,643 | $37,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 18,455 | $37,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 2,894 | $37,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 2,530 | $36,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 2,917 | $36,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 10,860 | $36,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 612 | $36,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 5,755 | $36,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 8,924 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 2,300 | $36,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 2,935 | $36,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 497 | $35,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 1,641 | $35,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 45,000 | $35,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 50,880 | $35,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 86 | $34,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,437 | $34,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 2,509 | $34,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 1,184 | $34,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 9,974 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 1,794 | $34,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 4,802 | $34,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 39,776 | $33,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 3,960 | $33,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 19,556 | $33,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 14,941 | $33,000 | thousands by filing date | |
| INVESCO | 46138J874 | EXCHANGE TRADED | 1,491 | $33,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 2,422 | $33,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 6,071 | $33,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 26,916 | $33,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 3,727 | $33,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 4,025 | $33,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 1,550 | $32,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 613 | $32,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 4,000 | $32,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,779 | $32,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 32,000 | $32,000 | thousands by filing date | principal |
| LANDS END INC | 51509F105 | COMMON STOCK | 3,925 | $31,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,032 | $31,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 4,702 | $31,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 8,984 | $31,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 17,468 | $31,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 16,252 | $31,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 19,875 | $31,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047907 | CALL | 500 | $31,000 | thousands by filing date | call |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 698 | $30,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 439 | $30,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 1,037 | $30,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 1,362 | $30,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 1,000 | $30,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 6,518 | $30,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 21,032 | $30,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,603 | $29,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 4,009 | $29,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 4,519 | $29,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 22,090 | $29,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 8,251 | $28,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 552 | $28,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A130 | COM | 1,820 | $28,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 3,482 | $28,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 444 | $27,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,050 | $27,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,634 | $27,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-20-000375 | this filing | 2020-08-11 | acceptance time not in the bulk data set |