13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-12, with 6,155 holding rows worth $749,211,665,000.
- Accession
- 0000019617-21-000302
- Filer
- CIK 19617
- Filed
- 2021-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A combination report, 23,392 entries on the cover page, a total value of $749,211,665,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $749,211,665,000 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 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 |
|---|---|---|---|---|---|---|
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 770 | $60,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 6,000 | $60,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 12,204 | $60,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 5,682 | $60,000 | thousands by filing date | |
| MOODYS CORP | 615369955 | COM | 200 | $60,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 8,248 | $60,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,633 | $60,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 10,955 | $60,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 6,086 | $60,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A952 | COM | 14,300 | $60,000 | thousands by filing date | put |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 3,800 | $59,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G114 | WTS | 35,689 | $59,000 | thousands by filing date | principal |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 834 | $58,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 24,217 | $58,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 536 | $57,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,893 | $57,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 2,061 | $57,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 38,100 | $57,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 2,058 | $56,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 655 | $56,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT IN | 035710959 | COM NEW | 6,500 | $56,000 | thousands by filing date | put |
| NEW HOME CO INC COM | 645370107 | COM | 10,680 | $56,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 8,698 | $55,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,634 | $55,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 50,000 | $55,000 | thousands by filing date | principal |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 518 | $54,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 1,035 | $54,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 1,700 | $54,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 3,556 | $54,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 673 | $53,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 855 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 578 | $52,000 | thousands by filing date | |
| CARVANA CO | 146869902 | CALL | 200 | $52,000 | thousands by filing date | call |
| RMG ACQUISITION CORP III | G76088114 | UNIT 02/08/2026 | 5,249 | $52,000 | thousands by filing date | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 3,446 | $51,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 1,687 | $51,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 2,191 | $51,000 | thousands by filing date | |
| ADVANTAGE SOLUTIONS INC. | 00791N102 | COM CL A | 4,282 | $51,000 | thousands by filing date | |
| PRECIGEN INC | 74017N955 | COM | 7,400 | $51,000 | thousands by filing date | put |
| H I G ACQUISITION CORP | G44898123 | *W EXP 99/99/999 | 48,537 | $51,000 | thousands by filing date | principal |
| L&F ACQUISITION CORP | G53702125 | UNIT 99/99/9999 | 5,000 | $51,000 | thousands by filing date | |
| QELL ACQUISITION CORP | G7307X905 | CALL | 5,000 | $51,000 | thousands by filing date | call |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 272 | $50,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 1,900 | $50,000 | thousands by filing date | |
| SIBANYE STILLWATER LTD | 82575P907 | SPONSORED ADR | 2,800 | $50,000 | thousands by filing date | call |
| TATTOOED CHEF INC | 87663X102 | COM | 2,569 | $50,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 12,878 | $49,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,625 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 633 | $48,000 | thousands by filing date | |
| ISHARES TR | 46435U366 | CMN | 1,040 | $48,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 11,034 | $48,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,531 | $47,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 6,404 | $47,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 2,543 | $47,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 10,000 | $47,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 13,905 | $47,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 45,000 | $47,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 5,224 | $46,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,497 | $46,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 15,305 | $46,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 250 | $46,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 1,000 | $46,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,532 | $46,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 25,621 | $46,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602605 | COM NEW | 3,068 | $46,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 1,000 | $45,000 | thousands by filing date | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 3,000 | $45,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 7,871 | $45,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 1,468 | $45,000 | thousands by filing date | |
| ACON S2 ACQUISITION CORP | G00748114 | *W EXP 09/15/202 | 49,949 | $45,000 | thousands by filing date | principal |
| COLONY CAP INC NEW | 19626G908 | Option | 7,000 | $45,000 | thousands by filing date | call |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 237 | $44,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 5,412 | $44,000 | thousands by filing date | |
| FIDUS INVT CORP | 316500957 | PUT | 2,800 | $44,000 | thousands by filing date | put |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 1,000 | $44,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 8,000 | $44,000 | thousands by filing date | principal |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 14,522 | $43,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 751 | $43,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 6,432 | $43,000 | thousands by filing date | |
| DELTA AIR LINES INC | 247361952 | PUT | 900 | $43,000 | thousands by filing date | put |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 7,500 | $42,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 4,556 | $42,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 6,527 | $42,000 | thousands by filing date | |
| APOLLO STRATEGIC GROWTH CAPT | G0411R122 | UNIT 99/99/9999 | 4,032 | $42,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 345 | $41,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 6,738 | $41,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 2,200 | $41,000 | thousands by filing date | |
| ONCORUS INC | 68236R103 | COM | 2,960 | $41,000 | thousands by filing date | |
| GCM GROSVENOR INC | 36831E116 | W EXP 11/17/202 | 34,633 | $41,000 | thousands by filing date | principal |
| GEMINI THERAPEUTICS INC | 36870G105 | CMN | 3,000 | $41,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 1,092 | $40,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 561 | $40,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 12,479 | $40,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 4,005 | $40,000 | thousands by filing date | |
| GORES HLDGS VIII INC | 382863207 | UNIT 02/01/2028 | 4,000 | $40,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 9,363 | $40,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V746 | LARGE CAP GROWTH | 575 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y343 | GLBL X MLP ETF | 1,176 | $39,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q774 | LDRSHS ALPFACT | 1,245 | $39,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 1,302 | $39,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 7,500 | $39,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 6,877 | $39,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 1,252 | $38,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 2,390 | $38,000 | thousands by filing date | |
| DUN & BRADSTREET HLDGS INC | 26484T106 | COM | 1,611 | $38,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E240 | FUND | 1,095 | $38,000 | thousands by filing date | |
| MEDICENNA THERAPEUTICS F | 58490H107 | FOREIGN CANADIAN | 9,400 | $38,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 459 | $37,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 4,244 | $37,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 711 | $36,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 809 | $36,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 10,108 | $36,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 10,235 | $36,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 405 | $36,000 | thousands by filing date | |
| CEREVEL THERAPEUTICS HLDNG I | 15678U128 | COM | 2,635 | $36,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U117 | *W EXP 01/01/202 | 9,115 | $36,000 | thousands by filing date | principal |
| ESSA PHARMA INC | 29668H708 | COM NEW | 1,237 | $36,000 | thousands by filing date | |
| ARCLIGHT CLEAN TRANSITION CO | G04561109 | CL A | 2,000 | $36,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 6,522 | $36,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 8,538 | $36,000 | thousands by filing date | |
| PIONEER MERGER CORP | G7S24C103 | CL A SHS | 3,700 | $36,000 | thousands by filing date | |
| INMED PHARMACEUTICALS INC | 457637502 | COM NEW | 7,472 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347G747 | ULTPRO SHT 2017 | 3,397 | $36,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 343 | $35,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 3,307 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 1,368 | $35,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 1,345 | $35,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 3,735 | $35,000 | thousands by filing date | |
| ProShares UltraPro Short S&P 500 | 74347B110 | COM | 1,477 | $35,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049MAA8 | Convertible Debt | 23,000 | $35,000 | thousands by filing date | principal |
| ATLAS CORP | Y0436Q909 | CALL | 2,600 | $35,000 | thousands by filing date | call |
| NEOVASC INC | 64065J304 | COM | 31,234 | $34,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 150 | $33,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 708 | $33,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 618 | $33,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 434 | $33,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G609 | CMN | 1,404 | $33,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 2,100 | $33,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L905 | CALL | 3,100 | $33,000 | thousands by filing date | call |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 1,292 | $32,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 3,433 | $32,000 | thousands by filing date | |
| LUMINAR TECHNOLOGIES INC | 550424105 | COM CL A | 1,318 | $32,000 | thousands by filing date | |
| PERIDOT ACQUISITION CORP | G7008A115 | SHS CL A | 3,000 | $32,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 11,250 | $32,000 | thousands by filing date | |
| E MERGE TECHNOLOGY ACQUISITI | 26873Y112 | *W EXP 07/30/202 | 33,333 | $32,000 | thousands by filing date | principal |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 293 | $31,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 4,500 | $31,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 3,000 | $31,000 | thousands by filing date | |
| PONTEM CORPORATION | G71707114 | UNIT 99/99/9999 | 3,100 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347G309 | ULTRAPRO DOW 30 | 3,231 | $31,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 403 | $30,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 5,467 | $30,000 | thousands by filing date | |
| MACERICH CO | 554382901 | COM | 2,600 | $30,000 | thousands by filing date | call |
| MAVERIX METALS INC | 57776F405 | COMMON STOCK-FO | 5,653 | $30,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 2,500 | $30,000 | thousands by filing date | |
| REDBALL ACQUISITION CORP | G7417R105 | COM CL A | 3,000 | $30,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M106 | COM | 3,000 | $30,000 | thousands by filing date | |
| GRUBHUB INC | 400110902 | CALL | 500 | $30,000 | thousands by filing date | call |
| WPP PLC NEW ADR | 92937A102 | ADR | 454 | $29,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 00489Q102 | REIT | 1,909 | $28,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y870 | ULTRA BLOOMBERG | 1,320 | $28,000 | thousands by filing date | |
| MAXEON SOLAR TECHNOLOGIES LT | Y58473902 | OPTION | 900 | $28,000 | thousands by filing date | call |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 3,712 | $28,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 867 | $28,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U903 | CALL | 2,600 | $28,000 | thousands by filing date | call |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 1,043 | $27,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712957 | PUT | 1,000 | $27,000 | thousands by filing date | put |
| VANGUARD WORLD FD | 92204A956 | ENERGY ETF | 400 | $27,000 | thousands by filing date | put |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 2,002 | $27,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 509 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 455 | $26,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,539 | $26,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668958 | COM | 1,900 | $26,000 | thousands by filing date | put |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 12,000 | $26,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 24,000 | $26,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 10,864 | $26,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 372 | $25,000 | thousands by filing date | |
| CLEANSPARK INC | 18452B209 | COM NEW | 1,059 | $25,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 1,819 | $25,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,000 | $25,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 450 | $25,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 15,000 | $25,000 | thousands by filing date | principal |
| AUSTERLITZ ACQUISITION CORP | G0633D117 | UNIT 99/99/9999 | 2,500 | $25,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 455 | $24,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 1,553 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 515 | $24,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 7,265 | $24,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F951 | PUT | 2,100 | $24,000 | thousands by filing date | put |
| DIREXION DAILY ENERGY BEAR 2X SHARES | 25460E554 | ETF | 1,316 | $24,000 | thousands by filing date | |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 291 | $23,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,900 | $23,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 300 | $23,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,030 | $23,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 2,581 | $23,000 | thousands by filing date | |
| SIGNATURE BK NEW YORK N Y | 82669G954 | PUT | 100 | $23,000 | thousands by filing date | put |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 8,126 | $23,000 | thousands by filing date | |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 678 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 727 | $22,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 407 | $22,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 1,500 | $22,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 7,601 | $22,000 | thousands by filing date | |
| BROADSTONE ACQUISITION CORP | G1739V126 | *W EXP 09/15/202 | 31,300 | $22,000 | thousands by filing date | principal |
| ZIM INTEGRATED SHIPPING SERV | M9T951109 | SHS | 880 | $21,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 428 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 431 | $21,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC | 707569909 | COM | 200 | $21,000 | thousands by filing date | call |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 2,015 | $21,000 | thousands by filing date | |
| NEXTGEN ACQUISITION CORP | G65305115 | UNIT 11/26/2020 | 2,000 | $21,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 800 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 980 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 340 | $20,000 | thousands by filing date | |
| OLO INC | 68134L109 | COMMON STOCK | 794 | $20,000 | thousands by filing date | |
| ZW DATA ACTION TECHNOLOGS IN | 98880R109 | COM | 7,562 | $20,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP UNIT EX | G23726121 | Stock | 2,000 | $20,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,021 | $19,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 1,000 | $19,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 1,529 | $19,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 3,000 | $19,000 | thousands by filing date | |
| MOSAIC CO | 61945C903 | CALL | 600 | $19,000 | thousands by filing date | call |
| ETF SER SOLUTIONS | 26922A902 | CALL | 700 | $19,000 | thousands by filing date | call |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,534 | $19,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 5,000 | $19,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 10,371 | $19,000 | thousands by filing date | |
| AJAX I | G0190X950 | PUT | 1,900 | $19,000 | thousands by filing date | put |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 619 | $18,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 1,315 | $18,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,274 | $18,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 1,400 | $18,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW | 185899951 | PUT | 900 | $18,000 | thousands by filing date | put |
| POLARITYTE INC | 731094108 | COM | 15,933 | $18,000 | thousands by filing date | |
| ATLANTIC AVE ACQUISITION CORP UNIT | 04906P200 | Stock | 1,750 | $18,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 130 | $17,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,416 | $17,000 | thousands by filing date | |
| CAESARS ENTERTAINMENT INC NE | 12769G900 | CALL | 200 | $17,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 300 | $17,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,000 | $17,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,171 | $17,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034909 | CALL | 200 | $17,000 | thousands by filing date | call |
| EQT CORP | 26884L959 | COM | 900 | $17,000 | thousands by filing date | put |
| ATI INC | 01741R952 | COM | 800 | $17,000 | thousands by filing date | put |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 4,004 | $17,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q100 | COM | 1,486 | $17,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 658 | $17,000 | thousands by filing date | |
| CASCADE ACQUISITION CORP | 147151104 | COM CL A | 1,765 | $17,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 760 | $16,000 | thousands by filing date | |
| ARKO CORP | 041242108 | COMMON STOCK | 1,525 | $16,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 1,000 | $16,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 3,000 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 512 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347G705 | ULTRA ENERGY | 132 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347G689 | ULTSHT RUSS2000 | 1,102 | $16,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 1,920 | $16,000 | thousands by filing date | |
| ATLAS CREST INVT CORP | 049284102 | COM | 1,551 | $16,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 308 | $15,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 184 | $15,000 | thousands by filing date | |
| INNOVAGE HLDG CORP | 45784A104 | COM | 565 | $15,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,107 | $15,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,481 | $15,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 14,600 | $15,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 5,000 | $15,000 | thousands by filing date | principal |
| ALTERYX INC | 02156BAB9 | CONV BD US | 8,000 | $15,000 | thousands by filing date | principal |
| GOGO INC | 38046CAD1 | NOTE 6.000% 5/1 | 30,000 | $15,000 | thousands by filing date | principal |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 923 | $14,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,313 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G831 | DAIL JR GOLD ETF | 184 | $14,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 1,000 | $14,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 2,275 | $14,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W303 | COM | 5,270 | $14,000 | thousands by filing date | |
| DEERFIELD HEALTHCARE TECH AC | 244413118 | *W EXP 07/16/202 | 4,765 | $14,000 | thousands by filing date | principal |
| SOLARWINDS CORP | 83417Q955 | PUT | 800 | $14,000 | thousands by filing date | put |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 300 | $13,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G772 | INFRAC ACT MLP | 550 | $13,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,192 | $13,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E661 | CMN | 593 | $13,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 5,745 | $13,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 7,186 | $13,000 | thousands by filing date | |
| GENIUS SPORTS LIMITED | 233277102 | SHARES CL A | 891 | $13,000 | thousands by filing date | |
| WIMI HOLOGRAM CLOUD INC | 97264L100 | SPON ADS CL B | 1,987 | $13,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X954 | PUT | 1,500 | $13,000 | thousands by filing date | put |
| HAYMAKER ACQUISITION CORP II | 42087R207 | UNIT 03/01/2026 | 1,333 | $13,000 | thousands by filing date | |
| HUAZHU GROUP LTD | G46587AA2 | DEBT 3.000% 5/0 | 9,000 | $13,000 | thousands by filing date | principal |
| INVESCO EXCHANGE TRADED FD T | 46137V548 | COM | 700 | $12,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 408 | $12,000 | thousands by filing date | |
| DREAM FINDERS HOMES INC COM CL A | 26154D100 | Stock | 507 | $12,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 844 | $12,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 262 | $12,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 1,228 | $12,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 400 | $12,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 5,000 | $12,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X958 | COM | 300 | $12,000 | thousands by filing date | put |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,273 | $12,000 | thousands by filing date | |
| TRIDENT ACQUISITIONS CORP | 89615T114 | W EXP 05/09/202 | 5,744 | $12,000 | thousands by filing date | principal |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 316 | $11,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,378 | $11,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 1,282 | $11,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 330 | $11,000 | thousands by filing date | |
| BM TECHNOLOGIES INC | 05591L107 | COM | 983 | $11,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 110 | $11,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 11,864 | $11,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387908 | COM | 300 | $11,000 | thousands by filing date | call |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 530 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 331 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 294 | $10,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP FUND, I | 184692200 | COM | 440 | $10,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,621 | $10,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 1,950 | $10,000 | thousands by filing date | |
| TUSCAN HLDGS CORP | 90069K104 | COM | 801 | $10,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,211 | $10,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 8,341 | $10,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 200 | $10,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 1,900 | $10,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q905 | CALL | 600 | $10,000 | thousands by filing date | call |
| REPLAY ACQUISITION CORP | G75130107 | COM | 1,000 | $10,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 273 | $9,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 244 | $9,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 910 | $9,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 66 | $9,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 204 | $9,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 188 | $9,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 214 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 185 | $9,000 | thousands by filing date | |
| DISCOVER FINANCIAL SERVICES | 254709908 | COM | 100 | $9,000 | thousands by filing date | call |
| JIYA ACQUISITION CORP | 47760M102 | CMN | 900 | $9,000 | thousands by filing date | |
| TAOPING INC | G8675V119 | SHS NEW | 905 | $9,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,755 | $8,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 241 | $8,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,900 | $8,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 445 | $8,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP TOTAL R | 18469Q207 | COM | 398 | $8,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 601 | $8,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 229 | $8,000 | thousands by filing date | |
| DIREXION SHS TR ETF DAILY S&P OIL & GAS EXP & PROD BULL 2X | 25460G500 | ETF | 112 | $8,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 428 | $8,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 900 | $8,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 670 | $8,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T908 | COM | 700 | $8,000 | thousands by filing date | call |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 469 | $8,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 219 | $7,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 267 | $7,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 393 | $7,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 2,985 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G698 | S&P 500 REVENUE | 104 | $7,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 1,414 | $7,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 184 | $7,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 1,577 | $7,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019119 | *W EXP 08/31/202 | 8,048 | $7,000 | thousands by filing date | principal |
| QUMU CORP | 749063103 | COM | 1,014 | $7,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 300 | $7,000 | thousands by filing date | |
| VG ACQUISITION CORP | G9446E105 | SHS CL A | 700 | $7,000 | thousands by filing date | |
| BLUECITY HLDGS LTD | 09610L106 | ADS | 729 | $7,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 245 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 110 | $6,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 424 | $6,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 1,293 | $6,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 95 | $6,000 | thousands by filing date | |
| KEYCORP | 493267958 | PUT | 300 | $6,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y955 | LITHIUM BTRY ETF | 100 | $6,000 | thousands by filing date | put |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 124 | $6,000 | thousands by filing date | |
| TITAN INTL INC ILL | 88830M952 | PUT | 600 | $6,000 | thousands by filing date | put |
| MOATABLE INC | 759892300 | COM | 694 | $6,000 | thousands by filing date | |
| VERICEL CORP | 92346J958 | PUT | 100 | $6,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25460G880 | FUND | 265 | $6,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V603 | COM CL A NEW | 308 | $6,000 | thousands by filing date | |
| BURGERFI INTERNATIONAL INC | 12122L101 | COM | 400 | $6,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 50 | $5,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 100 | $5,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 218 | $5,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 1,300 | $5,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 48 | $5,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V639 | AI AND NEXT GEN | 29 | $5,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 55 | $5,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 1,200 | $5,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 742 | $5,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 538 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 180 | $5,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 734 | $5,000 | thousands by filing date | |
| DUCKHORN PORTFOLIO INC | 26414D106 | COM | 305 | $5,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 632 | $5,000 | thousands by filing date | |
| WORLD WRESTLING ENTERTAINMENT CMN STOCK | 98156Q958 | Cmn | 100 | $5,000 | thousands by filing date | put |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 125 | $5,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 3,000 | $5,000 | thousands by filing date | |
| YUMANITY THERAPEUTICS INC | 98872L102 | COM | 300 | $5,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 2,467 | $5,000 | thousands by filing date | |
| STAR PEAK CORP II | 855179206 | UNIT 99/99/9999 | 481 | $5,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 7 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 99 | $4,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V324 | S&P500 EQL IND | 20 | $4,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,600 | $4,000 | thousands by filing date | |
| TURQUOISE HILL RES LTD | 900435207 | COM | 276 | $4,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 152 | $4,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 559 | $4,000 | thousands by filing date | |
| BIT DIGITAL INC | G1144A105 | COMMON STOCK | 279 | $4,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 202 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 180 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 100 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 96 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 70 | $4,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 500 | $4,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A900 | SHS | 400 | $4,000 | thousands by filing date | call |
| BLINK CHARGING CO | 09354A950 | COM | 100 | $4,000 | thousands by filing date | put |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 603 | $4,000 | thousands by filing date | |
| NEW YORK CITY REIT INC | 649439205 | COM | 492 | $4,000 | thousands by filing date | |
| DANIMER SCIENTIFIC INC | 236272100 | COM CL A | 115 | $4,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 506 | $4,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 400 | $4,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 1,291 | $4,000 | thousands by filing date | principal |
| ROOT INC | 77664L958 | COM | 300 | $4,000 | thousands by filing date | put |
| Schwab US REIT ETF | 808524847 | SHS | 68 | $3,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 444 | $3,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 132 | $3,000 | thousands by filing date | |
| REVOLVE GROUP INC CL A | 76156B107 | Stock | 56 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 44 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 17 | $3,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 650 | $3,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 206 | $3,000 | thousands by filing date | |
| ROMEO POWER INC | 776153108 | COM | 400 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 100 | $3,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 727 | $3,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 225 | $3,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 469 | $3,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 34 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 200 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 133 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G708 | DAIL MS BRAZ ETF | 33 | $3,000 | thousands by filing date | |
| INVESCO DB COMMDY INDX TRCK | 46138B953 | UNIT | 200 | $3,000 | thousands by filing date | put |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 1,000 | $3,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 135 | $3,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 1,772 | $3,000 | thousands by filing date | |
| Instil Bio, Inc. | 45783C101 | Common Stock | 101 | $3,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 224 | $3,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 400 | $3,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 326 | $3,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 200 | $3,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 1,300 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 350 | $3,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 1,305 | $3,000 | thousands by filing date | |
| BOQII HLDG LTD | 09950L104 | SPONSORED ADS | 501 | $3,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 34 | $2,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 110 | $2,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 48 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 64 | $2,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 108 | $2,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 120 | $2,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 18 | $2,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 325 | $2,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 16 | $2,000 | thousands by filing date | |
| VALHI INC | 918905209 | COMMON STOCK | 92 | $2,000 | thousands by filing date | |
| ONITY GROUP INC | 675746606 | COMMON STOCK | 56 | $2,000 | thousands by filing date | |
| HIGHPEAK ENERGY INC | 43114Q105 | COMMON STOCK | 384 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 40 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 100 | $2,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 25 | $2,000 | thousands by filing date | |
| INOTIV INC | 45783Q100 | COM | 120 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y319 | CMN | 74 | $2,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N865 | CMN | 46 | $2,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 15 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 50 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 75 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E959 | S&P 500 MOMNTM | 100 | $2,000 | thousands by filing date | put |
| CARVER BANCORP ORD | 146875604 | COM | 221 | $2,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 495 | $2,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 150 | $2,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 261 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 97 | $2,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V958 | COM | 200 | $2,000 | thousands by filing date | put |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 241 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G658 | DLY S&P OIL GAS | 149 | $2,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 1,404 | $2,000 | thousands by filing date | |
| TS INNOVATION ACQUISITN CORP | 87284T118 | *W EXP 99/99/999 | 939 | $2,000 | thousands by filing date | principal |
| NOVAN INC | 66988N106 | COM | 1,000 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 25 | $1,000 | thousands by filing date | |
| EYEPOINT INC COM NEW | 30233G209 | Stock | 120 | $1,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 1,000 | $1,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 21 | $1,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 70 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G716 | DAILY S&P BIOTEC | 55 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 22 | $1,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 500 | $1,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 11 | $1,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 9 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 23 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 26 | $1,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 96 | $1,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 16 | $1,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 50 | $1,000 | thousands by filing date | |
| ALTO INGREDIENTS INC | 021513106 | COMMON STOCK | 162 | $1,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 83 | $1,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION COM U | G9108L173 | SHS | 79 | $1,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 48 | $1,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 30 | $1,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 38 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 10 | $1,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 36 | $1,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 107 | $1,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 99 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B169 | CMN | 7 | $1,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265126 | COM NEW | 148 | $1,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 70 | $1,000 | thousands by filing date | |
| AMRYT PHARMA LTD - SPNR ADR | 03217L106 | COMMON EQUITY | 66 | $1,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 123 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-21-000302 | this filing | 2021-05-12 | acceptance time not in the bulk data set |