13F-HR/A filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR/A for the quarter ended 2020-09-30, filed 2020-11-12, with 5,721 holding rows worth $595,093,240,000.
- Accession
- 0000019617-20-000513
- 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, amendment of type restatement, 21,857 entries on the cover page, a total value of $595,093,240,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $595,093,240,000 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
- 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 |
|---|---|---|---|---|---|---|
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 13,676 | $156,000 | thousands by filing date | |
| LOCKHEED MARTIN CORP | 539830909 | COM | 400 | $155,000 | thousands by filing date | call |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 9,965 | $155,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 12,577 | $155,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 35,221 | $155,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 22,733 | $154,000 | thousands by filing date | |
| ANNEXON INC | 03589W102 | COM | 5,496 | $154,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 13,467 | $154,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 37,572 | $154,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 8,580 | $154,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 3,750 | $153,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 29,923 | $153,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 6,450 | $153,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 5,850 | $153,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 10,087 | $152,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 4,048 | $152,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 2,683 | $152,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908959 | TOTAL STK MKT | 900 | $152,000 | thousands by filing date | put |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 1,892 | $151,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 8,421 | $151,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 56,004 | $151,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 72,899 | $151,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 27,686 | $150,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 24,257 | $150,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP III | 31811A119 | *W EXP 12/01/202 | 100,000 | $150,000 | thousands by filing date | principal |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 8,999 | $149,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 6,086 | $149,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 10,496 | $149,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 47,710 | $149,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 53,693 | $148,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 15,100 | $147,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 14,789 | $147,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 7,299 | $147,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 100,000 | $147,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 1,984 | $146,000 | thousands by filing date | |
| ONTERRIS INC | 615111101 | COM | 5,900 | $146,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 3,942 | $146,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N302 | CL A | 10,404 | $146,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 17,844 | $145,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 24,442 | $145,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 7,480 | $145,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 4,950 | $145,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 9,329 | $145,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 8,611 | $145,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N957 | COM | 20,800 | $145,000 | thousands by filing date | put |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 63,345 | $145,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 2,897 | $144,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 27,233 | $144,000 | thousands by filing date | |
| ZENTALIS PHARMACEUTICALS INC | 98943L107 | COMMON STOCK | 4,297 | $144,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 5,860 | $144,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 12,209 | $144,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 45,781 | $144,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 2,420 | $143,000 | thousands by filing date | |
| APPLIED MOLECULAR TRANS INC | 03824M109 | COM | 4,629 | $143,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 36,973 | $142,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 1,251 | $142,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 10,042 | $141,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 37,790 | $141,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 13,612 | $140,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 13,413 | $140,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 5,105 | $140,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 68,107 | $140,000 | thousands by filing date | |
| SCIENTIFIC GAMES CORP CMN STK | 80874P909 | Cmn | 4,000 | $140,000 | thousands by filing date | call |
| TILRAY BRANDS INC | 88688T900 | Option | 29,000 | $140,000 | thousands by filing date | call |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 9,503 | $139,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 34,673 | $139,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 3,358 | $139,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 8,813 | $139,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 5,664 | $139,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 8,350 | $139,000 | thousands by filing date | |
| NURIX THERAPEUTICS INC | 67080M103 | COMMON STOCK | 4,140 | $138,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 26,170 | $138,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 22,345 | $138,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 32,348 | $138,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439110 | W EXP 08/04/202 | 100,000 | $138,000 | thousands by filing date | principal |
| BANK FIRST CORP | 06211J100 | COM | 2,340 | $137,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 3,336 | $137,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 10,103 | $137,000 | thousands by filing date | |
| ALX ONCOLOGY HOLDINGS INC | 00166B105 | COMMON STOCK | 3,568 | $137,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 22,636 | $137,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 15,287 | $137,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 19,432 | $136,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y327 | GLBX MSCI COLUM | 5,812 | $136,000 | thousands by filing date | |
| GENASYS INC | 36872P103 | CMN | 22,170 | $136,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 9,215 | $135,000 | thousands by filing date | |
| AMERICAN NATIONAL GROUP INC | 02772A109 | COM NEW | 1,980 | $135,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 9,586 | $134,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 5,320 | $134,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 8,188 | $134,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 4,749 | $133,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 19,532 | $133,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971T901 | CALL | 1,200 | $133,000 | thousands by filing date | call |
| COMSTOCK RES INC COM | 205768302 | Stock | 29,148 | $132,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 14,846 | $132,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 75,411 | $132,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 15,480 | $132,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 19,040 | $131,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 10,841 | $130,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 12,200 | $130,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 9,373 | $129,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 9,831 | $129,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 3,894 | $128,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 945 | $128,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 7,928 | $128,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E198 | S&P MIDCP LOW | 3,062 | $127,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 33,452 | $126,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 8,606 | $125,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 7,090 | $125,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 11,594 | $125,000 | thousands by filing date | |
| AKOUOS INC | 00973J101 | COM | 5,412 | $125,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 7,029 | $124,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 6,638 | $124,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 15,313 | $124,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 100,860 | $124,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 16,727 | $124,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 26,364 | $124,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C391 | US EQTY BUFR MAR | 4,372 | $123,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 5,648 | $123,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 15,846 | $122,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 2,000 | $122,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 6,153 | $122,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 19,068 | $121,000 | thousands by filing date | |
| UNITED STS OIL FD LP | 91232N907 | CALL | 4,368 | $121,000 | thousands by filing date | call |
| ITERIS INC NEW | 46564T107 | COM | 28,965 | $121,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 9,966 | $121,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 43,000 | $121,000 | thousands by filing date | principal |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 3,939 | $120,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 10,585 | $119,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 9,961 | $118,000 | thousands by filing date | |
| MASTERCRAFT BOAT HOLDINGS IN | 57637H103 | COMMON STOCK | 6,908 | $118,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C383 | US EQTY PWR BUF | 4,255 | $117,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 23,702 | $117,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H805 | RARE EAR STR ETF | 3,097 | $117,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 11,106 | $117,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 38,718 | $117,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 5,827 | $117,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 84,425 | $117,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 16,971 | $116,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 14,411 | $116,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 11,580 | $116,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 15,058 | $116,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 39,740 | $116,000 | thousands by filing date | |
| ACUTUS MED INC | 005111109 | COM | 3,866 | $116,000 | thousands by filing date | |
| IBIO INC | 451033953 | PUT | 55,500 | $116,000 | thousands by filing date | put |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 5,431 | $115,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 19,000 | $115,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 17,719 | $115,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 5,441 | $115,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 1,660 | $114,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 8,270 | $114,000 | thousands by filing date | |
| BRP INC COM SUN VTG | 05577W200 | Stock | 2,170 | $113,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 12,582 | $113,000 | thousands by filing date | |
| MEDTRONIC PLC | G5960L903 | CALL | 1,100 | $113,000 | thousands by filing date | call |
| HOWARD BANCORP INC COM | 442496105 | COM | 12,583 | $113,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 8,504 | $113,000 | thousands by filing date | |
| Vanguard ESG U.S. Stock ETF | 921910733 | SHS | 1,825 | $112,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 4,247 | $112,000 | thousands by filing date | |
| HUDSON LTD | G46408103 | COM CL A | 14,771 | $112,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 15,654 | $111,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 6,134 | $111,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 41,997 | $111,000 | thousands by filing date | |
| B RILEY PRIN MERGER CORP II WT EXP 050626 | 05600U114 | Common Stock | 78,812 | $111,000 | thousands by filing date | principal |
| GTT COMMUNICATIONS INC | 362393100 | COM | 21,701 | $110,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 2,073 | $109,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 40,725 | $109,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 41,547 | $109,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 33,652 | $109,000 | thousands by filing date | |
| NETSTREIT CORP | 64119V303 | COM | 5,948 | $108,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 8,508 | $108,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 9,324 | $108,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 9,834 | $108,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L901 | COM | 12,500 | $108,000 | thousands by filing date | call |
| CHIMERIX INC COM | 16934W106 | Stock | 43,176 | $108,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 5,140 | $108,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 454,987 | $107,000 | thousands by filing date | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 16,844 | $106,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 1,652 | $106,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 3,618 | $106,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 21,250 | $106,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 167,118 | $105,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 61,127 | $105,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 31,202 | $105,000 | thousands by filing date | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 52,713 | $105,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C318 | US EQTY PWR BUF | 3,785 | $104,000 | thousands by filing date | |
| PHILIP MORRIS INTL INC | 718172909 | CALL | 1,400 | $104,000 | thousands by filing date | call |
| STERLING BANCORP INC | 85917W102 | COM | 33,902 | $104,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 30,414 | $104,000 | thousands by filing date | |
| MEDICENNA THERAPEUTICS F | 58490H107 | FOREIGN CANADIAN | 22,200 | $104,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC | 02128L114 | *W EXP 02/14/202 | 59,693 | $104,000 | thousands by filing date | principal |
| VSE CORP COM | 918284100 | Stock | 3,306 | $103,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 423 | $103,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 2,074 | $103,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 2,456 | $103,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 11,140 | $103,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 5,191 | $103,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 22,164 | $103,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 5,087 | $103,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 8,669 | $103,000 | thousands by filing date | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 2,597 | $102,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 137,560 | $102,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 8,428 | $102,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 5,387 | $102,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 13,890 | $101,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 29,877 | $101,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 5,320 | $101,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 6,568 | $101,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 16,483 | $101,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 5,355 | $100,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 8,952 | $100,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 11,149 | $100,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 7,478 | $100,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 4,520 | $100,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 17,134 | $100,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 39,258 | $99,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 8,640 | $99,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 30,533 | $98,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 5,835 | $98,000 | thousands by filing date | |
| GOGO INC | 38046C959 | COM | 10,000 | $98,000 | thousands by filing date | put |
| Akoustis Technologies Inc | 00973N102 | COM | 11,569 | $98,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 13,750 | $98,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 3,177 | $97,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 8,468 | $97,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 6,254 | $97,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 26,753 | $97,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 8,231 | $97,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 40,438 | $96,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 8,500 | $96,000 | thousands by filing date | |
| ITEOS THERAPEUTICS INC | 46565G104 | COM | 3,984 | $96,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 29,547 | $96,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 8,255 | $95,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 15,960 | $95,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 4,807 | $95,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 14,010 | $95,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 3,375 | $95,000 | thousands by filing date | |
| ORACLE CORP | 68389X955 | PUT | 1,600 | $95,000 | thousands by filing date | put |
| TFS FINL CORP | 87240R107 | COM | 6,389 | $94,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 5,020 | $94,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 9,669 | $94,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 57,768 | $94,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 1,798 | $93,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 19,699 | $93,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 6,378 | $93,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 2,999 | $93,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 13,606 | $93,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN | 12541W959 | PUT | 900 | $93,000 | thousands by filing date | put |
| PLIANT THERAPEUTICS INC | 729139105 | COM | 3,883 | $92,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 6,012 | $92,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 9,450 | $92,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 11,297 | $92,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 3,900 | $91,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 4,795 | $91,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 31,007 | $91,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 110,216 | $91,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 2,832 | $91,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,814 | $91,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 3,622 | $91,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 3,000 | $90,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 10,582 | $90,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 61,694 | $90,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 32,295 | $90,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 1,989 | $90,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 1,700 | $90,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 17,014 | $90,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 61,240 | $90,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 2,588 | $90,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 7,267 | $90,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 9,038 | $90,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 7,141 | $89,000 | thousands by filing date | |
| CARPARTS COM INC | 14427M107 | COM | 7,863 | $89,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M102 | COM CL A | 5,867 | $89,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 16,258 | $89,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 818 | $88,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 4,126 | $88,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 4,200 | $88,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 6,067 | $86,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 14,558 | $86,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 2,330 | $86,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 41,657 | $86,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 41,671 | $86,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 7,534 | $85,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 6,537 | $85,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 723 | $85,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 33,065 | $85,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 29,750 | $85,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 16,322 | $85,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 14,020 | $84,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 11,546 | $84,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 6,008 | $84,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 23,059 | $84,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A902 | CALL | 5,000 | $84,000 | thousands by filing date | call |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 204,700 | $84,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 24,517 | $84,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L114 | *W EXP 08/02/202 | 150,000 | $84,000 | thousands by filing date | principal |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 7,068 | $83,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 3,951 | $83,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 7,238 | $83,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 29,880 | $83,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 13,539 | $83,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 640 | $82,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 10,127 | $82,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 1,585 | $82,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 7,565 | $82,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 8,723 | $82,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 7,643 | $82,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 5,014 | $81,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 46,455 | $81,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 54,199 | $81,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 700 | $81,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 7,074 | $81,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 18,679 | $81,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 7,763 | $80,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 7,100 | $80,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 12,205 | $80,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 24,335 | $80,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 1,289 | $79,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 6,126 | $79,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 1,840 | $79,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 3,697 | $79,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 10,552 | $79,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,490 | $79,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 9,027 | $79,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 75,000 | $79,000 | thousands by filing date | principal |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 2,595 | $78,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC | 37959R103 | COM CL A | 3,751 | $78,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 9,985 | $78,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 4,900 | $78,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 3,795 | $78,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 63,598 | $78,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,079 | $78,000 | thousands by filing date | |
| ALUSSA ENERGY ACQUISITION CO | G0232J119 | *W EXP 10/31/202 | 90,264 | $78,000 | thousands by filing date | principal |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 10,328 | $78,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 32,647 | $78,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 4,987 | $78,000 | thousands by filing date | |
| BAOZUN INC | 06684LAB9 | NOTE 1.625% 5/0 | 85,000 | $78,000 | thousands by filing date | principal |
| EXPERIENCE INVT CORP | 30217C117 | *W EXP 09/01/202 | 69,676 | $77,000 | thousands by filing date | principal |
| GAIA INC NEW | 36269P104 | CL A | 7,637 | $76,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 1,195 | $76,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 73,096 | $75,000 | thousands by filing date | |
| ORIC PHARMACEUTICALS INC | 68622P109 | COM | 3,246 | $75,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 5,838 | $75,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 30,752 | $75,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 48,256 | $75,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 7,434 | $74,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 5,469 | $74,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 2,580 | $73,000 | thousands by filing date | |
| FITBIT INC | 33812L952 | PUT | 10,500 | $73,000 | thousands by filing date | put |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 34,401 | $72,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 21,674 | $72,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 2,598 | $72,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 2,031 | $72,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 3,029 | $72,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 11,789 | $72,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 10,907 | $72,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 41,796 | $72,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 3,865 | $71,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 496 | $71,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 30,803 | $71,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 3,861 | $70,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A150 | COM | 4,284 | $69,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 8,259 | $69,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 48,279 | $69,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 54,672 | $69,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 5,803 | $68,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 2,073 | $68,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 75,000 | $68,000 | thousands by filing date | principal |
| POINTS INTL LTD | 730843208 | COM NEW | 6,927 | $68,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL | 46131B950 | Cmn | 24,600 | $68,000 | thousands by filing date | put |
| IMARA INC | 45249V107 | COM | 3,107 | $68,000 | thousands by filing date | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 6,446 | $67,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 748 | $67,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 13,381 | $67,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 4,269 | $67,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C888 | US EQT BUFR APR | 2,347 | $67,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 24,560 | $67,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 5,819 | $67,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 7,495 | $66,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,815 | $66,000 | thousands by filing date | |
| PASSAGE BIO INC | 702712100 | COM | 5,064 | $66,000 | thousands by filing date | |
| AKOUSTIS TECHNOLOGIES INC | 00973N952 | PUT | 7,800 | $66,000 | thousands by filing date | put |
| DAKTRONICS INC | 234264109 | COM | 16,154 | $65,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 4,798 | $65,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 13,904 | $65,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S108 | *W EXP 11/30/202 | 48,029 | $65,000 | thousands by filing date | principal |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 200 | $64,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 10,426 | $64,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 3,234 | $64,000 | thousands by filing date | |
| TREAN INS GROUP INC | 89457R101 | COM | 4,487 | $64,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 9,434 | $64,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 2,384 | $63,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 1,871 | $63,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 5,977 | $63,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 10,207 | $63,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 19,530 | $63,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 3,942 | $63,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 11,671 | $63,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E125 | DAILY SM CP BEAR | 3,652 | $63,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 950 | $62,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 5,107 | $62,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 3,163 | $62,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 5,551 | $62,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC | 24703L952 | CL C | 900 | $62,000 | thousands by filing date | put |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 9,145 | $61,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 29,483 | $61,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 10,875 | $61,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 30,841 | $61,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 2,680 | $61,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 11,611 | $61,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 13,516 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 2,320 | $60,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 14,203 | $60,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 1,330 | $59,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 2,671 | $59,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 7,476 | $59,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W126 | WARRANT | 61,300 | $59,000 | thousands by filing date | principal |
| PDL CMNTY BANCORP | 69290X101 | COM | 6,661 | $59,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 4,334 | $58,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 15,024 | $58,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 8,632 | $58,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 7,392 | $58,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 13,242 | $58,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 6,087 | $58,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 6,249 | $57,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 3,880 | $57,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 4,260 | $57,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 25,113 | $57,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 10,097 | $56,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 50,000 | $56,000 | thousands by filing date | principal |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 7,821 | $55,000 | thousands by filing date | |
| BLACKROCK INC | 09247X901 | COM | 100 | $55,000 | thousands by filing date | call |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 16,000 | $55,000 | thousands by filing date | principal |
| ISHARES TR | 464287754 | US INDUSTRIALS | 322 | $54,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 4,832 | $54,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 10,757 | $54,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 4,869 | $54,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 6,232 | $54,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 5,017 | $53,000 | thousands by filing date | |
| GAN LTD | G3728V109 | SHS | 3,332 | $53,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 10,092 | $53,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 4,480 | $53,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 5,149 | $53,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 500 | $52,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 49,740 | $52,000 | thousands by filing date | |
| STRATASYS LTD | M85548951 | SHS | 4,100 | $52,000 | thousands by filing date | put |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 4,748 | $52,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 3,738 | $51,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 18,662 | $51,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 24,175 | $51,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 1,500 | $50,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 836 | $50,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 20,494 | $50,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 13,029 | $50,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 48,397 | $50,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 10,099 | $49,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 22,437 | $49,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 7,702 | $49,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 783 | $48,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 7,971 | $48,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 3,939 | $48,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 3,500 | $47,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 11,169 | $47,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 1,808 | $47,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 4,506 | $47,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAH1 | NOTE 1.500% 6/1 | 46,000 | $47,000 | thousands by filing date | principal |
| FORTE BIOSCIENCES INC | 34962G109 | COM | 966 | $47,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 511 | $46,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 6,245 | $46,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 2,380 | $46,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 3,000 | $46,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 23,024 | $46,000 | thousands by filing date | |
| KENSINGTON CAP ACQUISITION C | 490073103 | COM CL A | 2,700 | $46,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 26,210 | $46,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 31,989 | $46,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y870 | ULTRA BLOOMBERG | 1,370 | $46,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 191,000 | $46,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 7,863 | $46,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A130 | COM | 3,339 | $46,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 8,962 | $46,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 1,035 | $45,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 12,878 | $45,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 3,500 | $45,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 6,386 | $45,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 3,099 | $45,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 1,697 | $45,000 | thousands by filing date | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 5,006 | $45,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 3,477 | $45,000 | thousands by filing date | |
| AMARIN CORPORATION PLC -ADR | 023111956 | ADR | 11,200 | $45,000 | thousands by filing date | put |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 9,071 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E133 | DAILY FINL BEAR | 2,876 | $45,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 12,991 | $45,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 1,900 | $45,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 17,156 | $45,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,136 | $44,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 2,481 | $44,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 29,923 | $44,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 2,317 | $44,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 4,336 | $44,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 2,229 | $44,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 8,984 | $44,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402Q126 | *W EXP 04/01/202 | 62,800 | $44,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 2,095 | $43,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-20-000473 | superseded | 2020-11-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000019617-20-000513 | this filing | 2020-11-12 | acceptance time not in the bulk data set |