13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-12, with 5,721 holding rows worth $597,815,613,000.
- Accession
- 0000019617-20-000473
- Filer
- CIK 19617
- Filed
- 2020-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A combination report, 21,904 entries on the cover page, a total value of $597,815,613,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $597,815,613,000 with VALUE read as thousands by filing date, 13F file number 028-00694. A later restatement replaced it, so the quarter does not use it. 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
- included managerSECURITY CAPITAL RESEARCH & MANAGEMENT INC028-07312
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 |
|---|---|---|---|---|---|---|
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 760 | $43,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 479 | $43,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 6,378 | $43,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 20,988 | $43,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 710 | $42,000 | thousands by filing date | |
| GFL ENVIRONMENTAL INC SUB VTG SHS | 36168Q104 | Stock | 2,015 | $42,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 1,208 | $42,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 2,268 | $42,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 2,695 | $42,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 34,976 | $42,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 1,728 | $41,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 5,335 | $41,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 1,000 | $41,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 2,183 | $41,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 83 | $41,000 | thousands by filing date | |
| MACYS INC | 55616P954 | COM | 7,300 | $41,000 | thousands by filing date | put |
| Renovaro Inc | 29350E104 | Common Stock | 11,119 | $41,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 3,735 | $40,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 8,000 | $40,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 1,932 | $40,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 5,165 | $40,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 67,300 | $40,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 775 | $39,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 300 | $39,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 3,050 | $39,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 5,092 | $39,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 2,076 | $39,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 20,000 | $39,000 | thousands by filing date | principal |
| REVLON INC | 761525609 | OPT | 5,950 | $39,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 3,128 | $38,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 4,380 | $38,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 1,333 | $38,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,636 | $38,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 13,132 | $38,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 18,495 | $38,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 5,932 | $38,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 86 | $37,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 3,800 | $37,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y401 | CMN | 569 | $37,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 6,527 | $37,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 39,474 | $37,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 4,637 | $37,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 17,369 | $37,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 2,307 | $36,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 524 | $36,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 7,469 | $36,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 6,257 | $36,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 958 | $36,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 14,125 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 487 | $35,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 2,247 | $35,000 | thousands by filing date | |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 1,367 | $35,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 612 | $35,000 | thousands by filing date | |
| FATHOM HOLDINGS | 31189V109 | COM | 2,298 | $35,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 47,000 | $35,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 7,364 | $35,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 45,000 | $35,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 16,434 | $35,000 | thousands by filing date | |
| SEA LTD | 81141RAB6 | CONV BD US | 5,000 | $35,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 53,102 | $35,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,437 | $34,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 7,242 | $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 | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 2,503 | $34,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 494 | $34,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 4,948 | $34,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 27,900 | $34,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 4,718 | $34,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 4,927 | $34,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 5,322 | $34,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049MAA8 | Convertible Debt | 28,000 | $34,000 | thousands by filing date | principal |
| AETERNA ZENTARIS INC | 007975402 | COM | 93,950 | $34,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 613 | $33,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 3,356 | $33,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,330 | $33,000 | thousands by filing date | |
| ONITY GROUP INC | 675746606 | COMMON STOCK | 1,546 | $33,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDIN | 890260706 | COM | 36,500 | $33,000 | thousands by filing date | |
| PANDION THERAPEUTICS INC | 698340106 | COM | 2,787 | $33,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 3,000 | $33,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 8,131 | $33,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 12,368 | $32,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 809 | $32,000 | thousands by filing date | |
| LIMINAL BIOSCIENCES INC | 53272L103 | COM | 3,091 | $32,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 10,900 | $32,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 8,153 | $31,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 32,000 | $31,000 | thousands by filing date | principal |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 4,606 | $31,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393950 | PUT | 6,100 | $31,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 967 | $30,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,130 | $30,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 5,607 | $30,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 8,993 | $30,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 552 | $30,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 7,513 | $30,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 4,266 | $30,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 1,064 | $29,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 32,765 | $29,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 2,961 | $29,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 285,800 | $29,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 3,390 | $29,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 434 | $28,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 444 | $28,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 2,500 | $28,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 9,891 | $28,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 22,877 | $28,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 2,000 | $28,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 379 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 1,672 | $28,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 26,083 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 792 | $27,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 7,500 | $27,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 8,128 | $27,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 4,464 | $27,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 2,302 | $27,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 6,757 | $27,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 600 | $27,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 5,600 | $27,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 1,515 | $26,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 625 | $26,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,391 | $26,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 29,142 | $26,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 4,852 | $26,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 53,000 | $26,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 1,090 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 2,500 | $25,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 3,341 | $25,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 9,963 | $25,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 84,843 | $25,000 | thousands by filing date | principal |
| ARQ INC | 00770C101 | COM | 5,952 | $24,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 5,705 | $24,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 6,524 | $24,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 4,500 | $23,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q340 | BETABUILDERS US | 368 | $23,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 7,844 | $23,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 1,289 | $23,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,882 | $23,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 9,145 | $23,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 2,647 | $23,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 18,786 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 1,000 | $22,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 2,768 | $22,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 450 | $22,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 840 | $22,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 4,533 | $22,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 1,918 | $22,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 2,928 | $22,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 11,693 | $22,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 16,200 | $22,000 | thousands by filing date | |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 555 | $21,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 1,819 | $21,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 663 | $21,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 200 | $21,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 300 | $21,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 2,581 | $21,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 1,500 | $21,000 | thousands by filing date | |
| PRETIUM RES INC | 74139C902 | COM | 1,600 | $21,000 | thousands by filing date | call |
| GWG HLDGS INC | 36192A109 | COM | 2,479 | $21,000 | thousands by filing date | |
| ALTERYX INC | 02156BAB9 | CONV BD US | 8,000 | $21,000 | thousands by filing date | principal |
| ACCELERATE DIAGNOSTICS INC | 00430H952 | PUT | 1,900 | $21,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 525 | $20,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 17,992 | $20,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 400 | $20,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 65,300 | $20,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW | 185899901 | CALL | 3,000 | $20,000 | thousands by filing date | call |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 5,722 | $20,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 800 | $20,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 5,497 | $20,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 8,462 | $20,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 13,541 | $20,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 1,882 | $20,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 19,000 | $20,000 | thousands by filing date | principal |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 7,285 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 727 | $19,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 3,753 | $19,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 217 | $19,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 740 | $19,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 14,600 | $19,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 12,033 | $19,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 1,839 | $19,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 743 | $19,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 19,455 | $19,000 | thousands by filing date | |
| KISMET ACQUISITION ONE CORP | G52753129 | UNIT 08/06 | 1,921 | $19,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 2,204 | $18,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 7,522 | $18,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,371 | $18,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 8,165 | $18,000 | thousands by filing date | |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 1,469 | $18,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 7,800 | $18,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 5,043 | $18,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 3,252 | $18,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 1,261 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 382 | $17,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,695 | $17,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 6,149 | $17,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 713 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 1,000 | $17,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 4,004 | $17,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,002 | $17,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 3,714 | $17,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 12,600 | $17,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 62,400 | $17,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 417 | $16,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 391 | $16,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,786 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 307 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 512 | $16,000 | thousands by filing date | |
| AMARIN CORPORATION PLC -ADR | 023111906 | ADR | 4,000 | $16,000 | thousands by filing date | call |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 15,000 | $16,000 | thousands by filing date | principal |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 3,187 | $16,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 10,952 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H607 | OIL SERVICES ETF | 149 | $15,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 398 | $15,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 285 | $15,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 610 | $15,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 1,531 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 414 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 515 | $15,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 3,820 | $15,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 5,800 | $15,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 7,224 | $15,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 11,256 | $15,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 500 | $15,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 8,054 | $15,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 280 | $14,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,624 | $14,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 1,991 | $14,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 923 | $14,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 486 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 305 | $14,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 1,464 | $14,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 700 | $14,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 700 | $14,000 | thousands by filing date | |
| RTX CORPORATION | 75513E951 | PUT | 250 | $14,000 | thousands by filing date | put |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 11,000 | $14,000 | thousands by filing date | principal |
| AYRO INC | 054748108 | COM | 4,500 | $14,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 8,900 | $14,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BEAR 2X SHARES | 25460E554 | ETF | 206 | $14,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 15,000 | $14,000 | thousands by filing date | principal |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 11,116 | $13,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 310 | $13,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,107 | $13,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 4,857 | $13,000 | thousands by filing date | |
| Milestone Pharmaceuticals Inc | 59935V107 | COM | 1,700 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 200 | $13,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 3,426 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 660 | $13,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 2,646 | $13,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 16,700 | $13,000 | thousands by filing date | |
| BIOCEPT INC | 09072V501 | COM | 2,800 | $13,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 324 | $12,000 | thousands by filing date | |
| HARMONY BIOSCIENCES HLDGS IN | 413197104 | COM | 386 | $12,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 12,544 | $12,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 3,411 | $12,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 21,305 | $12,000 | thousands by filing date | |
| XWELL INC COM NEW | 98420U703 | Stock | 6,500 | $12,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 22,662 | $12,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 310 | $11,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 928 | $11,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 155 | $11,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 5,793 | $11,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 4,264 | $11,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 343 | $11,000 | thousands by filing date | |
| PRECIGEN INC | 74017N955 | COM | 3,000 | $11,000 | thousands by filing date | put |
| FILANA THERAPEUTICS INC | 14817C957 | COM | 1,000 | $11,000 | thousands by filing date | put |
| ESPERION THERAPEUTICS INC NE | 29664W955 | COM | 300 | $11,000 | thousands by filing date | put |
| OPGEN INC | 68373L307 | COM | 5,106 | $11,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 394 | $10,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 760 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 214 | $10,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 189 | $10,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 250 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 300 | $10,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 500 | $10,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 1,282 | $10,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 1,000 | $10,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N903 | COM | 3,000 | $10,000 | thousands by filing date | call |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 3,000 | $10,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 6,929 | $10,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 6,500 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 414 | $10,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS INC | 163572959 | PUT | 2,200 | $10,000 | thousands by filing date | put |
| METEN HOLDING GROUP LTD | G6055H114 | ORD SHS | 1,649 | $10,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 6,400 | $10,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 7,000 | $10,000 | thousands by filing date | principal |
| INVESCO EXCHANGE TRADED FD T | 46137V548 | COM | 700 | $9,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 7,870 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 518 | $9,000 | thousands by filing date | |
| CLEARPOINT NEURO INC | 18507C103 | COM | 1,508 | $9,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,000 | $9,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 125 | $9,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,303 | $9,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 292 | $9,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 200 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 254 | $9,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 8,538 | $9,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 1,318 | $9,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 1,019 | $8,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 244 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 300 | $8,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 1,000 | $8,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 815 | $8,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 2,936 | $8,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 1,669 | $8,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 2,100 | $8,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 500 | $8,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 1,719 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 475 | $8,000 | thousands by filing date | |
| FORTIVE CORP | 34959J908 | COM | 100 | $8,000 | thousands by filing date | call |
| NATWEST GROUP PLC | 639057108 | COMMON STOCK-FO | 2,843 | $8,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R950 | OPTION | 600 | $8,000 | thousands by filing date | put |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 32,779 | $8,000 | thousands by filing date | principal |
| MORPHOSYS AG | 617760202 | ADR | 266 | $8,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 21,480 | $8,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 3,930 | $8,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 545 | $8,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 236 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347G705 | ULTRA ENERGY | 142 | $7,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 4,076 | $7,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,075 | $7,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 695 | $7,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 5,700 | $7,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 128 | $7,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 364 | $7,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G205 | UNIT 99/99/9999 | 600 | $7,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 347 | $6,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 1,452 | $6,000 | thousands by filing date | |
| VIOMI TECHNOLOGY CO LTD | 92762J103 | SPONSORED ADS | 1,071 | $6,000 | thousands by filing date | |
| EQT CORP | 26884L909 | CALL | 500 | $6,000 | thousands by filing date | call |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 192 | $6,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y300 | ADR NEW | 559 | $6,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 2,159 | $6,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J958 | COM | 100 | $6,000 | thousands by filing date | put |
| CORBUS PHARMACEUTICALS HLDGS | 21833P953 | PUT | 3,100 | $6,000 | thousands by filing date | put |
| TD HLDGS INC COM NEW | 87250W103 | Stock | 2,134 | $6,000 | thousands by filing date | |
| DROPBOX INC - CLASS A | G4027R104 | COM | 1,353 | $6,000 | thousands by filing date | |
| SIRIUS INTERNATIONAL INSURAN COM | G8196D101 | Stock | 532 | $6,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 80 | $5,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 50 | $5,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 571 | $5,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 234 | $5,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 202 | $5,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 424 | $5,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 500 | $5,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 900 | $5,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 78 | $5,000 | thousands by filing date | |
| Galiano Gold Inc | 36352H100 | COM | 3,650 | $5,000 | thousands by filing date | |
| TRANSOCEAN LTD | H8817H950 | REGISTERED SHS | 6,300 | $5,000 | thousands by filing date | put |
| 111 INC | 68247Q102 | ADR | 790 | $5,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL | 46131B900 | Cmn | 1,800 | $5,000 | thousands by filing date | call |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 300 | $5,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 3,386 | $5,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 226 | $4,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 307 | $4,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 1,300 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 163 | $4,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 206 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 99 | $4,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V639 | AI AND NEXT GEN | 29 | $4,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 1,520 | $4,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP TOTAL R | 18469Q207 | COM | 398 | $4,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 342 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 67 | $4,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 114 | $4,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 670 | $4,000 | thousands by filing date | |
| WORLD WRESTLING ENTERTAINMENT CMN STOCK | 98156Q958 | Cmn | 100 | $4,000 | thousands by filing date | put |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 1,300 | $4,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 409 | $4,000 | thousands by filing date | |
| FLYING EAGLE ACQUISITION COR | 34407Y103 | COM | 300 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 400 | $4,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 89 | $3,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 252 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 17 | $3,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 1,563 | $3,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 545 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 92 | $3,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 500 | $3,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 400 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347G887 | ULSH 20YRTRE NEW | 125 | $3,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 115 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 212 | $3,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 200 | $3,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 1,673 | $3,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 400 | $3,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 5,000 | $3,000 | thousands by filing date | |
| LUOKUNG TECHNOLOGY CORP | G56981106 | SHS | 6,501 | $3,000 | thousands by filing date | |
| FANGDD NETWORK GROUP LTD | 30712L109 | SPONSORED ADS | 439 | $3,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,250 | $3,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 5,381 | $3,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 5,274 | $3,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 3,502 | $3,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 147 | $2,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 6 | $2,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 132 | $2,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 36 | $2,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 44 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 50 | $2,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 958 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 64 | $2,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 20 | $2,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP FUND, I | 184692200 | COM | 200 | $2,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 1,273 | $2,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 777 | $2,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 157 | $2,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 115 | $2,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 225 | $2,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 16 | $2,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N865 | CMN | 46 | $2,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 2,766 | $2,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 82 | $2,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 8,063 | $2,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 2,000 | $2,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 1,268 | $2,000 | thousands by filing date | |
| NEVRO CORP | 64157FAC7 | NOTE 2.750% 4/0 | 1,000 | $2,000 | thousands by filing date | principal |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 805 | $2,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 251 | $2,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 5,500 | $2,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 581 | $2,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 32 | $2,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865111 | *W EXP 01/22/202 | 1,063 | $2,000 | thousands by filing date | principal |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 129,100 | $1,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 210 | $1,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 500 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 35 | $1,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 66 | $1,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 96 | $1,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 47 | $1,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 1,544 | $1,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 290 | $1,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 4 | $1,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 300 | $1,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 35 | $1,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L951 | COM | 100 | $1,000 | thousands by filing date | put |
| SUMO LOGIC INC | 86646P103 | COM | 34 | $1,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 705 | $1,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 358 | $1,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 261 | $1,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 168 | $1,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 1,205 | $1,000 | thousands by filing date | principal |
| ATLAS CORP | Y0436Q109 | COM | 134 | $1,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 371 | $1,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 1,200 | $1,000 | thousands by filing date | |
| CORVUS GOLD INC | 221013105 | COM | 250 | $1,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 2,482 | $1,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 84 | $1,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 675 | $1,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 99 | $1,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 335 | $1,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 914 | $1,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 893 | $1,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 302 | $1,000 | thousands by filing date | |
| VIVINT SMART HOME INC | 928542117 | *W EXP 01/17/202 | 200 | $1,000 | thousands by filing date | principal |
| VanEck Merk Gold Trust | 921078101 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 57 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINETIK HOLDINGS INC COM NEW CL A | 02215L209 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRITEO S A SPONS ADS | 226718104 | ADR | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FREEDOM HOLDING CORP | 356390104 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELCUITY INC | 15102K100 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CF BANKSHARES INC | 12520L109 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FERROGLOBE PLC | G33856108 | SHS | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REKOR SYSTEMS INC | 759419104 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 142 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y293 | GLB X MLP ENRG I | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYCE VALUE TRUST | 780910105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LSB INDS INC | 502160104 | COM | 134 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TECNOGLASS INC | G87264100 | ORD SHS | 54 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASTRONOVA INC | 04638F108 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALHI INC | 918905209 | COMMON STOCK | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTEST CORP | 461147100 | COMMON STOCK | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-20-000473 | this filing | 2020-11-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000019617-20-000513 | base | 2020-11-12 | acceptance time not in the bulk data set |