13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-11, with 5,728 holding rows worth $680,665,796,000.
- Accession
- 0000019617-21-000192
- Filer
- CIK 19617
- Filed
- 2021-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A combination report, 22,648 entries on the cover page, a total value of $680,665,796,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $680,665,796,000 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 |
|---|---|---|---|---|---|---|
| BLACKROCK CAP INVT CORP | 092533108 | COM | 41,129 | $110,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 11,853 | $109,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 973 | $108,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 14,180 | $108,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 80,287 | $107,000 | thousands by filing date | |
| PLIANT THERAPEUTICS INC | 729139105 | COM | 4,676 | $106,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 20,344 | $106,000 | thousands by filing date | |
| CARNEY TECHNOLOGY ACQU CORP | 143636207 | UNIT 12/10/2025 | 10,300 | $106,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 3,234 | $105,000 | thousands by filing date | |
| INSEEGO CORP | 45782B954 | COM | 6,700 | $104,000 | thousands by filing date | put |
| WAITR HLDGS INC | 930752100 | COM | 37,059 | $103,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 17,102 | $101,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 6,438 | $100,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 20,349 | $100,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC | 02128L114 | *W EXP 02/14/202 | 50,307 | $100,000 | thousands by filing date | principal |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 63,021 | $99,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 2,655 | $99,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 45,839 | $99,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 14,511 | $99,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 18,759 | $99,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 17,445 | $99,000 | thousands by filing date | |
| CANOO INC | 13803R110 | *W EXP 12/21/202 | 27,538 | $99,000 | thousands by filing date | principal |
| AMC ENTMT HLDGS INC | 00165C904 | COM | 46,700 | $99,000 | thousands by filing date | call |
| MORPHOSYS AG | 617760202 | ADR | 3,404 | $97,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 2,837 | $96,000 | thousands by filing date | |
| GOGO INC | 38046C959 | COM | 10,000 | $96,000 | thousands by filing date | put |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 191,000 | $96,000 | thousands by filing date | principal |
| China Yuchai Intl Ltd | G21082105 | COM | 5,786 | $95,000 | thousands by filing date | |
| ONCORUS INC | 68236R103 | COM | 2,933 | $95,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 6,635 | $94,000 | thousands by filing date | |
| IRON MTN INC DEL | 46284V951 | PUT | 3,200 | $94,000 | thousands by filing date | put |
| BIT DIGITAL INC | G1144A105 | COMMON STOCK | 4,227 | $93,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 4,250 | $93,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 75,000 | $93,000 | thousands by filing date | principal |
| LAKELAND INDS INC | 511795106 | COM | 3,389 | $92,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 40,862 | $92,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V100 | AEROSPACE DEFN | 1,336 | $91,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 5,271 | $91,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 2,751 | $91,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 700 | $91,000 | thousands by filing date | |
| ABCAM PLC | 000380204 | ADR USD | 4,217 | $91,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 4,971 | $90,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V903 | CALL | 6,700 | $90,000 | thousands by filing date | call |
| USA TRUCK INC | 902925106 | COM | 10,123 | $90,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 6,126 | $88,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 31,745 | $88,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 1,724 | $88,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 6,692 | $88,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 12,581 | $88,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 41,281 | $88,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 18,634 | $87,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 3,640 | $87,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 17,200 | $87,000 | thousands by filing date | |
| SABRE CORP | 78573M904 | COM | 7,200 | $87,000 | thousands by filing date | call |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 3,156 | $87,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 60,543 | $87,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 3,823 | $86,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 5,529 | $86,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 3,381 | $86,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 43,557 | $85,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908951 | SMALL CP ETF | 600 | $85,000 | thousands by filing date | put |
| NEXTCURE INC | 65343E108 | COM | 7,735 | $85,000 | thousands by filing date | |
| BAOZUN INC | 06684LAB9 | NOTE 1.625% 5/0 | 85,000 | $85,000 | thousands by filing date | principal |
| ELUTIA INC | 05479K106 | CL A COM | 6,108 | $83,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL | 46131B950 | Cmn | 24,600 | $83,000 | thousands by filing date | put |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 281 | $82,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 2,580 | $82,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G849 | DAILY 20 YR TREA | 1,521 | $82,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 2,199 | $80,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 16,422 | $80,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 2,316 | $80,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 5,284 | $80,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 39,070 | $80,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 950 | $79,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 1,087 | $79,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 3,836 | $79,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 36,377 | $77,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 20,885 | $77,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 200 | $76,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 3,865 | $76,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 831 | $76,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 3,082 | $75,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 1,018 | $74,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 8,114 | $73,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC | 50105F955 | PUT | 4,900 | $73,000 | thousands by filing date | put |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 5,830 | $73,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 19,322 | $73,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 4,869 | $72,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 9,670 | $72,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 2,598 | $72,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 13,859 | $72,000 | thousands by filing date | |
| BLACKROCK INC | 09247X901 | COM | 100 | $72,000 | thousands by filing date | call |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 10,701 | $72,000 | thousands by filing date | |
| GORES HLDGS V INC | 382864106 | COM CL A | 6,921 | $72,000 | thousands by filing date | |
| FITBIT INC | 33812L952 | PUT | 10,500 | $71,000 | thousands by filing date | put |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 14,075 | $70,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 24,769 | $70,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 2,777 | $70,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 67,704 | $70,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 972 | $69,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 55,206 | $69,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 4,819 | $69,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A130 | COM | 4,096 | $69,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 21,047 | $69,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 7,649 | $68,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 836 | $68,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 3,850 | $68,000 | thousands by filing date | |
| ELI LILLY & CO | 532457958 | PUT | 400 | $68,000 | thousands by filing date | put |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 1,569 | $67,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 7,022 | $67,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 9,809 | $67,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 3,692 | $66,000 | thousands by filing date | |
| SKILLZ INC | 83067L109 | COM | 3,300 | $66,000 | thousands by filing date | |
| GORES HOLDINGS VI INC | 38286R204 | UNIT 08/24/2027 | 6,250 | $66,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 388 | $65,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 7,118 | $65,000 | thousands by filing date | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 5,945 | $65,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 5,690 | $64,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 7,000 | $64,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 5,940 | $64,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 4,279 | $63,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 1,200 | $63,000 | thousands by filing date | |
| DOLLAR GEN CORP | 256677905 | CALL | 300 | $63,000 | thousands by filing date | call |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 5,508 | $63,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 63,817 | $63,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 56,386 | $63,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 9,007 | $63,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 8,026 | $62,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 2,073 | $62,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222904 | CALL | 4,700 | $62,000 | thousands by filing date | call |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 1,654 | $62,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 10,524 | $62,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 10,000 | $62,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 2,026 | $61,000 | thousands by filing date | |
| CIVEO CORP | 17878Y207 | COMMON STOCK | 4,424 | $61,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 45,000 | $61,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISTN COR | 34431F104 | COM CL A | 5,500 | $61,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 2,201 | $60,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 5,973 | $60,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 5,335 | $59,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 1,956 | $58,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 4,225 | $58,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 3,562 | $58,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 1,700 | $57,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 3,000 | $57,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,910 | $57,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 10,889 | $57,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 770 | $56,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 2,171 | $56,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 7,614 | $56,000 | thousands by filing date | |
| IMMUNOME INC | 45257U108 | COM | 5,731 | $55,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W405 | COM | 8,495 | $55,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 2,235 | $55,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 5,801 | $55,000 | thousands by filing date | |
| AMARIN CORPORATION PLC -ADR | 023111956 | ADR | 11,200 | $55,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 4,621 | $54,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 4,000 | $54,000 | thousands by filing date | |
| VERITONE INC | 92347M950 | COM | 1,900 | $54,000 | thousands by filing date | put |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 50,000 | $54,000 | thousands by filing date | principal |
| VISTA ENERGY S.A.B. DE C.V. SPONSORED ADS | 92837L109 | ADR | 20,831 | $53,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 2,191 | $53,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,082 | $52,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 3,809 | $52,000 | thousands by filing date | |
| OVINTIV INC | 69047Q902 | COM | 3,600 | $52,000 | thousands by filing date | call |
| SEA LTD | 81141RAB6 | CONV BD US | 5,000 | $52,000 | thousands by filing date | principal |
| GOGO INC | 38046CAD1 | NOTE 6.000% 5/1 | 30,000 | $52,000 | thousands by filing date | principal |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 1,035 | $51,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 3,500 | $51,000 | thousands by filing date | |
| GOPRO INC | 38268T903 | CL A | 6,100 | $51,000 | thousands by filing date | call |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 9,448 | $51,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 10,882 | $51,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 1,092 | $50,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,695 | $50,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 3,800 | $50,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 855 | $50,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 6,242 | $50,000 | thousands by filing date | |
| EBANG INTL HLDGS INC | G3R33A106 | CL A SHS | 8,169 | $50,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 2,380 | $49,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 3,406 | $49,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 21,064 | $49,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 2,100 | $49,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712957 | PUT | 1,700 | $49,000 | thousands by filing date | put |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 26,388 | $49,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 1,728 | $48,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 1,697 | $48,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 10,389 | $48,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049MAA8 | Convertible Debt | 30,000 | $48,000 | thousands by filing date | principal |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 1,854 | $47,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 4,176 | $47,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 1,350 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 660 | $47,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 1,291 | $47,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 6,628 | $47,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 963 | $46,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 2,873 | $46,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 11,541 | $46,000 | thousands by filing date | |
| RUSH STREET INTERACTIVE INC | 782011100 | COM | 2,100 | $45,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 2,310 | $45,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 7,912 | $45,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 7,537 | $45,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 2,350 | $44,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 575 | $44,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 593 | $44,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 7,446 | $44,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 9,456 | $44,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 718 | $43,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 1,000 | $43,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y401 | CMN | 569 | $43,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W126 | WARRANT | 31,021 | $43,000 | thousands by filing date | principal |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 640 | $42,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 8,549 | $42,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 4,911 | $42,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 2,138 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 3,430 | $42,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 8,746 | $42,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 10,884 | $42,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K107 | COM CL A | 2,522 | $42,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,437 | $41,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 345 | $41,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 1,713 | $41,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 2,331 | $41,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 1,383 | $41,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 95,900 | $41,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 3,819 | $40,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 775 | $39,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 15,170 | $39,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 552 | $39,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC | 25278X959 | PUT | 800 | $39,000 | thousands by filing date | put |
| AIX INC | 30712A103 | SPONSORED ADS | 3,214 | $39,000 | thousands by filing date | |
| ADVANTAGE SOLUTIONS INC. | 00791N102 | COM CL A | 2,878 | $38,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 2,477 | $38,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 19,280 | $38,000 | thousands by filing date | |
| BIOATLA INC | 09077B104 | COM | 1,088 | $37,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y790 | US EFFIC CORE FD | 1,000 | $37,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 7,295 | $37,000 | thousands by filing date | |
| AZUL S A | 05501U956 | PUT | 1,600 | $37,000 | thousands by filing date | put |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 2,145 | $36,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 4,275 | $36,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 7,500 | $36,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 2,001 | $36,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 11,995 | $35,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 589 | $35,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 1,345 | $35,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 438 | $35,000 | thousands by filing date | |
| MATTEL INC | 577081952 | PUT | 2,000 | $35,000 | thousands by filing date | put |
| VELODYNE LIDAR INC | 92259F101 | COM | 1,522 | $35,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 300 | $34,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 1,200 | $34,000 | thousands by filing date | |
| VERINT SYS INC | 92343X950 | COM | 500 | $34,000 | thousands by filing date | put |
| COLONY CAP INC NEW | 19626G908 | Option | 7,000 | $34,000 | thousands by filing date | call |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 827 | $33,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 2,500 | $33,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 23,637 | $33,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 6,255 | $33,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BEAR 2X SHARES | 25460E554 | ETF | 966 | $33,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 1,206 | $33,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 8,069 | $32,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 6,523 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 2,200 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 711 | $31,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 7,500 | $31,000 | thousands by filing date | |
| ADVENT TECHNOLOGIES HOLDNG INC WT EXP 020326 | 00165R119 | Stock | 9,269 | $31,000 | thousands by filing date | principal |
| NOVUS CAP CORP COM | 67012U108 | Stock | 2,000 | $31,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 8,940 | $31,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 288 | $30,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 560 | $30,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 1,202 | $30,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 6,425 | $30,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 2,500 | $30,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 5,399 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 7,725 | $30,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 6,827 | $29,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 5,643 | $29,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 4,783 | $29,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 4,500 | $28,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 403 | $28,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 200 | $28,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 5,940 | $28,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 1,339 | $27,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 1,362 | $27,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 666 | $27,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 8,500 | $27,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 1,520 | $26,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 442 | $26,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 4,716 | $26,000 | thousands by filing date | |
| GLOBAL BLUE GROUP HOLDING AG ORD SHS | H33700107 | Stock | 2,020 | $26,000 | thousands by filing date | |
| MAXEON SOLAR TECHNOLOGIES LT | Y58473902 | OPTION | 900 | $26,000 | thousands by filing date | call |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 5,000 | $25,000 | thousands by filing date | principal |
| NEOVASC INC | 64065J304 | COM | 26,634 | $25,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 3,433 | $24,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 6,036 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 1,000 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H607 | OIL SERVICES ETF | 149 | $23,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 1,500 | $23,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 430 | $23,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 1,819 | $23,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 2,581 | $23,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 450 | $23,000 | thousands by filing date | |
| WAYFAIR INC | 94419L901 | CL A | 100 | $23,000 | thousands by filing date | call |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 5,622 | $23,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 300 | $22,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 1,500 | $22,000 | thousands by filing date | |
| NATWEST GROUP PLC | 639057108 | COMMON STOCK-FO | 4,645 | $22,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 26,000 | $22,000 | thousands by filing date | principal |
| KAIXIN AUTO HLDGS | G5223X100 | CMN | 5,849 | $22,000 | thousands by filing date | |
| ALTERYX INC | 02156BAB9 | CONV BD US | 8,000 | $22,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 727 | $21,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 327 | $21,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 663 | $21,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,000 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 407 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 1,452 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 1,053 | $21,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 15,000 | $21,000 | thousands by filing date | principal |
| INMED PHARMACEUTICALS INC | 457637502 | COM NEW | 6,372 | $21,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 578 | $21,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q955 | PUT | 1,400 | $21,000 | thousands by filing date | put |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 313 | $20,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 557 | $20,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 401 | $20,000 | thousands by filing date | |
| LUMENTUM HLDGS INC | 55024UAD1 | NOTE 0.500%12/1 | 16,000 | $20,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 515 | $20,000 | thousands by filing date | |
| AMARIN CORPORATION PLC -ADR | 023111906 | ADR | 4,000 | $20,000 | thousands by filing date | call |
| CEDAR REALTY TRUST INC | 150602605 | COM NEW | 1,981 | $20,000 | thousands by filing date | |
| GENETRON HLDGS LTD | 37186H100 | ADS | 1,462 | $20,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 840 | $19,000 | thousands by filing date | |
| MEDICENNA THERAPEUTICS F | 58490H107 | FOREIGN CANADIAN | 4,067 | $19,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 4,798 | $19,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 8,959 | $19,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 288 | $19,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 398 | $18,000 | thousands by filing date | |
| STONECO LTD | G85158106 | COM CL A | 210 | $18,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 1,100 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 512 | $18,000 | thousands by filing date | |
| VIOMI TECHNOLOGY CO LTD | 92762J103 | SPONSORED ADS | 3,476 | $18,000 | thousands by filing date | |
| RTX CORPORATION | 75513E951 | PUT | 250 | $18,000 | thousands by filing date | put |
| ALBERTSONS COMPANIES INC | 013091953 | COMMON STOCK | 1,000 | $18,000 | thousands by filing date | put |
| CLS | 14070Y101 | Stock | 1,742 | $18,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 4,366 | $18,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 2,831 | $18,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 399 | $17,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 4,956 | $17,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,700 | $17,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 391 | $17,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 189 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A955 | PUT | 500 | $17,000 | thousands by filing date | put |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 453 | $17,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 11,250 | $17,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 10,241 | $17,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 2,077 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347G309 | ULTRAPRO DOW 30 | 1,368 | $17,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 1,027 | $16,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,271 | $16,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 700 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 414 | $16,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 1,282 | $16,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 1,689 | $16,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 5,397 | $16,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L959 | PUT | 400 | $16,000 | thousands by filing date | put |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 6,274 | $16,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 3,446 | $16,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 277 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 488 | $15,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 3,223 | $15,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 300 | $15,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,000 | $15,000 | thousands by filing date | |
| TRANSOCEAN LTD | H8817H950 | REGISTERED SHS | 6,300 | $15,000 | thousands by filing date | put |
| EMCORE CORP | 290846203 | COM | 2,807 | $15,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 4,690 | $15,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 358 | $14,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 7,255 | $14,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 184 | $14,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,107 | $14,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 923 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 300 | $14,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668958 | COM | 1,900 | $14,000 | thousands by filing date | put |
| ESSA PHARMA INC | 29668H708 | COM NEW | 1,152 | $14,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 2,208 | $14,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 760 | $13,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V571 | GLOBAL DRGN CN | 200 | $13,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 213 | $13,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,309 | $13,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 1,000 | $13,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 3,798 | $13,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 4,108 | $13,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 1,346 | $12,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 250 | $12,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 2,700 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 722 | $12,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 3,108 | $12,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC | 707569AU3 | NOTE 2.750% 5/1 | 3,000 | $12,000 | thousands by filing date | principal |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 4,855 | $12,000 | thousands by filing date | |
| DUDDELL STREET ACQUISITN COR | G28553108 | CMN | 1,200 | $12,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V548 | COM | 700 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 214 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 300 | $11,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 330 | $11,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,075 | $11,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 400 | $11,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 1,318 | $11,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P110 | SHS NEW | 1,437 | $11,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 22,662 | $11,000 | thousands by filing date | |
| TD HLDGS INC COM NEW | 87250W103 | Stock | 6,881 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 518 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 300 | $10,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 100 | $10,000 | thousands by filing date | |
| GOODRX HLDGS INC | 38246G108 | COM CL A | 247 | $10,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 844 | $10,000 | thousands by filing date | |
| NANO X IMAGING LTD | M70700105 | ORD SHS | 225 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347G705 | ULTRA ENERGY | 132 | $10,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 4,242 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 792 | $10,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 4,950 | $10,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 1,500 | $10,000 | thousands by filing date | |
| METEN HOLDING GROUP LTD | G6055H114 | ORD SHS | 5,155 | $10,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130107 | COM | 1,000 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 244 | $9,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 530 | $9,000 | thousands by filing date | |
| GCM GROSVENOR INC | 36831E108 | COM CL A | 700 | $9,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 670 | $9,000 | thousands by filing date | |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 231 | $9,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 7,186 | $9,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J958 | COM | 100 | $9,000 | thousands by filing date | put |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 915 | $9,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 10,297 | $9,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 22,980 | $9,000 | thousands by filing date | |
| JIYA ACQUISITION CORP | 47760M102 | CMN | 900 | $9,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q905 | CALL | 600 | $9,000 | thousands by filing date | call |
| Schwab US REIT ETF | 808524847 | SHS | 197 | $8,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 600 | $8,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 1,452 | $8,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 2,100 | $8,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 229 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 200 | $8,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 767 | $8,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 563 | $8,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 89 | $7,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 138 | $7,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP FUND, I | 184692200 | COM | 440 | $7,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 204 | $7,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 900 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 200 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G880 | FUND | 364 | $7,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 2,274 | $7,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 2,500 | $7,000 | thousands by filing date | |
| ZW DATA ACTION TECHNOLOGS IN | 98880R109 | COM | 5,000 | $7,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 64 | $6,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 245 | $6,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 202 | $6,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 140 | $6,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,900 | $6,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP TOTAL R | 18469Q207 | COM | 398 | $6,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 424 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 220 | $6,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 1,261 | $6,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984V209 | COMMON STOCK | 519 | $6,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877201 | COM NEW | 268 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 92 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 230 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y955 | LITHIUM BTRY ETF | 100 | $6,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 20,239 | $6,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 2,131 | $6,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 300 | $6,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 193 | $5,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 1,300 | $5,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 163 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 122 | $5,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 205 | $5,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 114 | $5,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 53 | $5,000 | thousands by filing date | |
| HEADHUNTER GROUP PLC ADR | 42207L106 | COM | 173 | $5,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 381 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 300 | $5,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 430 | $5,000 | thousands by filing date | |
| WORLD WRESTLING ENTERTAINMENT CMN STOCK | 98156Q958 | Cmn | 100 | $5,000 | thousands by filing date | put |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 400 | $5,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 3,052 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 500 | $5,000 | thousands by filing date | |
| BURGERFI INTERNATIONAL INC | 12122L101 | COM | 400 | $5,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 7 | $4,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 100 | $4,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 1,500 | $4,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 125 | $4,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 234 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 36 | $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 | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 1,268 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E370 | S&P 500 HB ETF | 70 | $4,000 | thousands by filing date | |
| J JILL INC | 46620W201 | COMMON STOCK | 1,053 | $4,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 2,262 | $4,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 314 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 92 | $4,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 669 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 100 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347G887 | ULSH 20YRTRE NEW | 125 | $4,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 5,219 | $4,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 32,779 | $4,000 | thousands by filing date | principal |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 358 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-21-000192 | this filing | 2021-02-11 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000019617-21-000235 | base | 2021-02-19 | acceptance time not in the bulk data set |