13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-10, with 6,470 holding rows worth $335,831,420,000.
- Accession
- 0000072971-19-000276
- Filer
- CIK 72971
- Filed
- 2019-05-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 19,253 entries on the cover page, a total value of $335,831,420,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $335,831,420,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPTIAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Management, LLC028-11406
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Citigroup, Inc
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO CLEARING SERVICES, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
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 |
|---|---|---|---|---|---|---|
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 15,687 | $376,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 27,970 | $375,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 11,003 | $375,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 57,561 | $374,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 46,200 | $374,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 18,616 | $373,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 12,079 | $372,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 297,268 | $372,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 274,843 | $371,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 190,012 | $370,000 | thousands by filing date | put |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 313,150 | $370,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 372,000 | $370,000 | thousands by filing date | principal |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 31,751 | $368,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 132,450 | $367,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 21,848 | $366,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 31,067 | $366,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 28,341 | $365,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 14,588 | $364,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 33,513 | $364,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 679,100 | $363,000 | thousands by filing date | put |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 84,285 | $363,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 28,404 | $363,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 40,962 | $361,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 34,154 | $361,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 111,297 | $360,000 | thousands by filing date | |
| NEWPARK RES INC | 651718AE8 | NOTE 4.000%12/0 | 300,000 | $360,000 | thousands by filing date | principal |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 41,022 | $359,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 42,809 | $357,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 11,352 | $357,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 11,006 | $357,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 20,615 | $356,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 8,276 | $356,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 15,317 | $356,000 | thousands by filing date | |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 17,001 | $354,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 31,224 | $352,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 14,809 | $352,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 818,322 | $352,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 73,118 | $351,000 | thousands by filing date | |
| SAFEHOLD INC | 78645L100 | COM | 16,048 | $350,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 12,435 | $350,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 635,937 | $350,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 18,393 | $349,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 8,497 | $349,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 322,640 | $349,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 146,116 | $347,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 15,643 | $346,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 42,592 | $346,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 5,134 | $346,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 8,830 | $345,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 31,746 | $344,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 33,277 | $344,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 3,427 | $344,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 40,015 | $343,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 12,919 | $342,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 181,554 | $341,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 14,180 | $341,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 25,473 | $341,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 28,792 | $340,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 148,563 | $340,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 15,118 | $340,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 19,522 | $339,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 66,160 | $338,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 9,037 | $337,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 44,153 | $337,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 50,462 | $335,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 151,692 | $335,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 14,031 | $335,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 19,711 | $333,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 52,344 | $332,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 91,452 | $332,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 28,936 | $331,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 13,090 | $330,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 12,491 | $330,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 28,839 | $329,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 219,078 | $328,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 32,000 | $327,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 11,537 | $327,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 24,188 | $326,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 40,463 | $326,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 42,964 | $326,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,655 | $325,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 55,623 | $325,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 53,461 | $325,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 26,132 | $325,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 35,759 | $325,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 8,349 | $319,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 16,869 | $318,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 17,421 | $318,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 324,893 | $318,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 94,503 | $317,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 52,201 | $317,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 8,318 | $315,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 3,555 | $315,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 11,610 | $315,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 19,797 | $315,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 6,241 | $314,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 6,329 | $314,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 129,620 | $314,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 48,506 | $314,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 19,833 | $313,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 19,411 | $311,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 34,402 | $311,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 129,309 | $310,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 15,097 | $310,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 34,884 | $310,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 17,635 | $310,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 10,006 | $309,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 19,352 | $309,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 25,215 | $307,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 81,606 | $305,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 42,384 | $304,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 25,822 | $304,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 10,006 | $304,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 7,292 | $303,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 5,695 | $303,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 19,942 | $303,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 9,175 | $302,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 11,967 | $302,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 6,690 | $302,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 17,462 | $301,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 66,374 | $301,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 7,354 | $300,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 21,831 | $300,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 21,169 | $299,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 20,796 | $299,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 18,715 | $298,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 100,546 | $298,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 42,568 | $298,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 18,813 | $297,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 34,742 | $296,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 6,805 | $295,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 9,352 | $295,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 59,547 | $295,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 250,000 | $295,000 | thousands by filing date | principal |
| STERLING BANCORP INC | 85917W102 | COM | 28,992 | $294,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 32,061 | $293,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 29,467 | $290,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 36,110 | $290,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 14,715 | $290,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 54,507 | $290,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 267,794 | $290,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 20,836 | $289,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 8,007 | $289,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 30,000 | $288,000 | thousands by filing date | put |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 16,335 | $288,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 4,942 | $286,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 21,556 | $286,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 11,591 | $285,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 4,799 | $284,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 61,124 | $284,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 16,204 | $284,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 21,233 | $283,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 36,909 | $283,000 | thousands by filing date | |
| REDFIN CORP | 75737FAA6 | NOTE 1.750% 7/1 | 295,000 | $282,000 | thousands by filing date | principal |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 12,123 | $281,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 23,127 | $280,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 292,100 | $280,000 | thousands by filing date | call |
| ENERPLUS CORP | 292766102 | COM | 33,084 | $278,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 44,710 | $278,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 28,798 | $277,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 14,281 | $277,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 93,496 | $277,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 7,213 | $275,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 43,702 | $275,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 18,631 | $274,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 5,393 | $273,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 4,442 | $273,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 37,411 | $272,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 9,676 | $272,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 13,730 | $270,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 44,481 | $270,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 14,164 | $269,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 8,103 | $269,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 19,720 | $269,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 26,613 | $267,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 17,573 | $266,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 34,355 | $266,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 13,004 | $265,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 24,485 | $265,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 27,078 | $265,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 17,148 | $264,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E107 | EQUAL WEGT 0-30 | 8,006 | $263,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 13,087 | $263,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 15,542 | $263,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 41,502 | $262,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 8,651 | $262,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 62,391 | $261,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 16,332 | $261,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 57,608 | $261,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 14,652 | $260,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 69,185 | $258,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 39,648 | $258,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Corporate Bond ETF | 46435U515 | ETF | 9,882 | $258,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 25,256 | $257,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 3,769 | $257,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 17,778 | $257,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 48,749 | $256,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 20,423 | $254,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 251,000 | $254,000 | thousands by filing date | principal |
| iShares Russell 2000 ETF | 464287655 | SHS | 92,500 | $253,000 | thousands by filing date | call |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 67,925 | $253,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 613,897 | $253,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 16,508 | $252,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 20,706 | $252,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 47,772 | $251,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 15,125 | $251,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 76,290 | $249,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 23,886 | $249,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 18,425 | $249,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 8,756 | $248,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 37,874 | $248,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 22,664 | $247,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 24,629 | $247,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 19,715 | $246,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 14,854 | $246,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 252,000 | $246,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 116,855 | $246,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 94,238 | $246,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 41,837 | $245,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 19,717 | $245,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 39,423 | $244,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 13,528 | $244,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 17,473 | $244,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 4,961 | $243,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 30,665 | $243,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 72,659 | $242,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 8,063 | $242,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 53,663 | $242,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 51,072 | $242,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 11,000 | $240,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 5,661 | $240,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 47,034 | $240,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 39,334 | $238,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 10,248 | $237,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 52,938 | $237,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 7,506 | $236,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 35,825 | $236,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 12,623 | $235,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 18,851 | $234,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 379,295 | $233,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 299,000 | $233,000 | thousands by filing date | principal |
| SMART & FINAL STORES INC | 83190B101 | COM | 47,099 | $233,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 26,640 | $233,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 28,728 | $232,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 10,200 | $232,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 16,320 | $231,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 25,017 | $230,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 81,927 | $229,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 22,772 | $229,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 19,105 | $228,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 176,500 | $227,000 | thousands by filing date | put |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 12,678 | $227,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 32,627 | $227,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 17,652 | $227,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 15,406 | $226,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 8,262 | $226,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 18,234 | $226,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 12,541 | $226,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 19,190 | $225,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 8,270 | $225,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 226,000 | $225,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 226,000 | $225,000 | thousands by filing date | principal |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 9,623 | $225,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 21,527 | $225,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 5,187 | $224,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 13,264 | $224,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 31,893 | $224,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 21,467 | $224,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 11,645 | $224,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 250,000 | $224,000 | thousands by filing date | principal |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 12,944 | $223,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 13,438 | $223,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 10,889 | $223,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 3,390 | $222,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 38,876 | $222,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 16,409 | $221,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 14,106 | $220,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 12,860 | $220,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 22,311 | $219,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 155,901 | $218,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 13,704 | $218,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 17,608 | $217,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 3,759 | $217,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 4,700 | $217,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 24,751 | $217,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 22,791 | $216,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 263,355 | $216,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 19,634 | $216,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 28,411 | $216,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 8,138 | $216,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 22,887 | $214,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 24,376 | $213,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 15,001 | $212,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 24,382 | $212,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 64,938 | $212,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 97,826 | $211,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 5,953 | $210,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 55,254 | $210,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 62,991 | $210,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 240,000 | $208,000 | thousands by filing date | call |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 9,437 | $208,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 210,000 | $208,000 | thousands by filing date | principal |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 9,066 | $207,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 52,872 | $207,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 34,628 | $207,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 7,473 | $207,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 49,327 | $206,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 16,642 | $206,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 25,736 | $206,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 16,329 | $205,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 11,426 | $205,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 120,224 | $205,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 8,000 | $204,000 | thousands by filing date | call |
| QIWI PLC | 74735M108 | SPON ADR REP B | 14,137 | $203,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 15,573 | $203,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 47,705 | $202,000 | thousands by filing date | put |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 65,093 | $202,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V829 | DWA NASDAQ MNT | 1,839 | $202,000 | thousands by filing date | |
| ELASTIC N V ORD SHS | N14506104 | Stock | 2,514 | $201,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 38,650 | $201,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 35,394 | $201,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 3,991 | $201,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 14,373 | $201,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 37,917 | $200,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 11,665 | $200,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 53,302 | $200,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V191 | S&P MDCP400 VL | 3,016 | $199,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 18,226 | $199,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 45,185 | $199,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 16,257 | $198,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 13,880 | $198,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 23,164 | $198,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 4,731 | $197,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 1,678 | $197,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 32,762 | $196,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 29,364 | $196,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 21,546 | $196,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 31,686 | $195,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 17,684 | $195,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 16,931 | $194,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V555 | INSIDER SENMNT | 2,972 | $194,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 53,938 | $193,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 105,000 | $193,000 | thousands by filing date | put |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 16,741 | $193,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 284,521 | $193,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 1,782 | $192,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 48,288 | $192,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 12,976 | $192,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 6,674 | $191,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 12,487 | $191,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 17,150 | $191,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 57,920 | $191,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 4,815 | $190,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 35,867 | $190,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 31,091 | $190,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 5,016 | $190,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 8,824 | $189,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 5,382 | $189,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 4,719 | $187,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 7,231 | $187,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 63,672 | $186,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 14,308 | $186,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 154,316 | $185,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 5,325 | $185,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 17,201 | $185,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 30,562 | $184,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 185,166 | $184,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 23,514 | $184,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 40,500 | $184,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 69,224 | $183,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 33,254 | $183,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 63,878 | $183,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 59,567 | $181,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 14,210 | $181,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 25,854 | $181,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 10,451 | $181,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 15,106 | $180,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 3,662 | $179,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 4,504 | $179,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 17,748 | $179,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 14,572 | $179,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 7,899 | $179,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 12,277 | $178,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 8,578 | $178,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 19,725 | $178,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 180,000 | $178,000 | thousands by filing date | principal |
| TRANSCAT INC | 893529107 | COM | 7,703 | $177,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 186,000 | $177,000 | thousands by filing date | principal |
| ELEVATE CREDIT INC | 28621V101 | COM | 40,693 | $177,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 4,380 | $176,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 23,602 | $176,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 19,203 | $176,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 37,268 | $176,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 21,960 | $175,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 85,071 | $174,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 7,421 | $174,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 277,317 | $174,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 8,223 | $174,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 15,606 | $171,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 44,891 | $171,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 5,621 | $171,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 39,594 | $171,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 150,000 | $171,000 | thousands by filing date | principal |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 170,000 | $171,000 | thousands by filing date | principal |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 6,524 | $170,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 65,316 | $170,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 59,968 | $169,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 21,050 | $169,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 8,795 | $169,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 8,794 | $169,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 66,500 | $168,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 13,082 | $168,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 9,274 | $167,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 29,085 | $167,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 14,197 | $167,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 40,601 | $167,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 10,621 | $167,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 6,035 | $166,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 17,537 | $165,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 90,200 | $165,000 | thousands by filing date | call |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 17,470 | $164,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 49,079 | $164,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 2,392 | $163,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,119 | $163,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 10,265 | $163,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 31,523 | $163,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 2,465 | $162,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 66,182 | $162,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 7,840 | $161,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 85,599 | $161,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 5,274 | $160,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 3,974 | $160,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 23,151 | $160,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 4,202 | $158,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 19,923 | $158,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 160,000 | $158,000 | thousands by filing date | principal |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 12,382 | $157,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 29,973 | $157,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 19,188 | $156,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 96,423 | $156,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 152,000 | $156,000 | thousands by filing date | principal |
| Berkshire Hathaway Inc | 084670702 | COM | 40,930 | $155,000 | thousands by filing date | put |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 1,245 | $155,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 7,614 | $155,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 8,467 | $154,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 2,903 | $154,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 9,816 | $154,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 18,413 | $154,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 92,310 | $153,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 2,734 | $153,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,996 | $153,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 4,493 | $152,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 11,427 | $152,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 158,000 | $152,000 | thousands by filing date | principal |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 40,032 | $152,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MBC1 | FRNT 4/1 | 150,000 | $152,000 | thousands by filing date | principal |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 100,000 | $151,000 | thousands by filing date | put |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 20,008 | $151,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 12,627 | $151,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 24,501 | $151,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 17,877 | $151,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 11,029 | $151,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 158,000 | $151,000 | thousands by filing date | principal |
| GARRISON CAP INC | 366554103 | COM | 20,799 | $150,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 246,557 | $150,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 21,311 | $150,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 37,961 | $149,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 21,368 | $148,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 22,489 | $148,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 13,924 | $148,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 3,597 | $148,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 2,296 | $147,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 111,800 | $146,000 | thousands by filing date | call |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 13,309 | $146,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 12,955 | $146,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 3,096 | $145,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,666 | $145,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 10,201 | $145,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 5,782 | $145,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 12,977 | $145,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 110,541 | $145,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 10,151 | $144,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 18,513 | $144,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 8,884 | $144,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 5,800 | $144,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 8,188 | $144,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 15,814 | $143,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 35,911 | $143,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 12,156 | $142,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 6,751 | $142,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 6,037 | $142,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 25,252 | $141,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 48,311 | $141,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 153,450 | $141,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 9,618 | $141,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 5,067 | $140,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 12,580 | $140,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 3,595 | $140,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 8,502 | $140,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 29,229 | $140,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-19-000276 | this filing | 2019-05-10 | acceptance time not in the bulk data set |