13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-08-06, with 6,890 holding rows worth $349,473,800,000.
- Accession
- 0000072971-19-000339
- Filer
- CIK 72971
- Filed
- 2019-08-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A holdings report, 20,209 entries on the cover page, a total value of $349,473,800,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $349,473,800,000 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 CAPTIAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Citigroup, Inc
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Management, LLC028-11406
- 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 |
|---|---|---|---|---|---|---|
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 171,397 | $1,678,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 119,526 | $1,678,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 79,746 | $1,675,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 134,597 | $1,664,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 141,006 | $1,660,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 60,861 | $1,658,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 1,376,000 | $1,654,000 | thousands by filing date | principal |
| EZCORP INC | 302301AE6 | NOTE 2.375% 5/0 | 1,844,000 | $1,653,000 | thousands by filing date | principal |
| Broadcom Inc. | 11135F101 | COM | 122,900 | $1,652,000 | thousands by filing date | put |
| AG MTG INVT TR INC | 001228105 | COM | 103,606 | $1,648,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 69,261 | $1,645,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 113,376 | $1,645,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 90,155 | $1,644,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 31,659 | $1,643,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 67,013 | $1,626,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 108,781 | $1,622,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 281,500 | $1,621,000 | thousands by filing date | put |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 119,093 | $1,619,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 73,027 | $1,617,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 43,666 | $1,617,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 18,736 | $1,614,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 367,848 | $1,604,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 42,108 | $1,603,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 48,814 | $1,594,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 49,358 | $1,590,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 33,462 | $1,590,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 155,523 | $1,590,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 54,160 | $1,588,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 93,109 | $1,587,000 | thousands by filing date | |
| Luckin Coffee Inc | 54951L109 | Equity | 81,303 | $1,585,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 53,321 | $1,584,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 180,000 | $1,583,000 | thousands by filing date | call |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 28,410 | $1,581,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 321,992 | $1,581,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 93,301 | $1,575,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 2,428,430 | $1,575,000 | thousands by filing date | principal |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 14,661 | $1,574,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 211,257 | $1,572,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 200,255 | $1,565,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 43,336 | $1,562,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 35,492 | $1,560,000 | thousands by filing date | |
| BEYOND MEAT INC | 08862E109 | COM | 9,689 | $1,557,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 91,706 | $1,556,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 65,300 | $1,556,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 83,613 | $1,555,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 162,305 | $1,554,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 36,846 | $1,550,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 105,965 | $1,549,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 126,299 | $1,547,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 30,837 | $1,545,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 109,156 | $1,539,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 73,006 | $1,538,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 49,552 | $1,534,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 26,596 | $1,532,000 | thousands by filing date | |
| AXONICS INC | 05465P101 | COM | 37,395 | $1,532,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Corporate Bond ETF | 46435U515 | ETF | 56,330 | $1,530,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 33,941 | $1,527,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 515,816 | $1,527,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 77,980 | $1,521,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 37,838 | $1,520,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 88,325 | $1,519,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 182,280 | $1,519,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 250,659 | $1,516,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 61,241 | $1,515,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 35,398 | $1,513,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 424,814 | $1,512,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 22,950 | $1,508,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 18,347 | $1,507,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 196,715 | $1,507,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 67,724 | $1,506,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 161,581 | $1,506,000 | thousands by filing date | |
| ENERGIZER HLDGS INC NEW | 29272W208 | 7.5 MCNV PFD A | 17,350 | $1,504,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 102,005 | $1,503,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 11,690 | $1,500,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 120,959 | $1,500,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 106,396 | $1,499,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 28,853 | $1,498,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 12,170 | $1,496,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 67,795 | $1,496,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 24,880 | $1,495,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 57,647 | $1,494,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 65,801 | $1,491,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 167,651 | $1,488,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 58,353 | $1,485,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,631,300 | $1,479,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 117,300 | $1,479,000 | thousands by filing date | put |
| CONNS INC | 208242107 | COM | 83,022 | $1,479,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 1,574,000 | $1,474,000 | thousands by filing date | principal |
| COVETRUS INC | 22304C100 | COM | 60,229 | $1,473,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 1,438,000 | $1,473,000 | thousands by filing date | principal |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 102,077 | $1,470,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 92,900 | $1,469,000 | thousands by filing date | put |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 65,123 | $1,468,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 114,024 | $1,466,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 105,343 | $1,462,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 81,344 | $1,462,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 85,834 | $1,461,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 26,706 | $1,460,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 201,420 | $1,460,000 | thousands by filing date | |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 39,275 | $1,459,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 203,987 | $1,458,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 75,547 | $1,456,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 2,066,300 | $1,455,000 | thousands by filing date | call |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 87,921 | $1,454,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 33,175 | $1,453,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 114,466 | $1,451,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 111,786 | $1,450,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 50,677 | $1,447,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 43,982 | $1,444,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 104,686 | $1,444,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 55,588 | $1,444,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 85,127 | $1,443,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V753 | FOOD & BEVERAGE | 43,076 | $1,441,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 190,190 | $1,440,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V159 | CMN | 28,842 | $1,440,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 14,744 | $1,439,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 80,395 | $1,438,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 47,635 | $1,432,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 245,837 | $1,431,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 102,683 | $1,431,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 37,486 | $1,429,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 167,442 | $1,426,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 34,734 | $1,425,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 256,134 | $1,424,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 30,580 | $1,423,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 3,830 | $1,418,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 48,703 | $1,418,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 82,691 | $1,415,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 92,808 | $1,415,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 31,225 | $1,412,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 75,381 | $1,411,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 50,049 | $1,411,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 57,871 | $1,410,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 500,000 | $1,410,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 188,829 | $1,408,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 150,523 | $1,407,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 121,990 | $1,401,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 90,942 | $1,400,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 42,917 | $1,399,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 1,620,000 | $1,396,000 | thousands by filing date | principal |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 41,273 | $1,395,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 87,817 | $1,393,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 125,510 | $1,392,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 93,406 | $1,390,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 73,455 | $1,387,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 139,325 | $1,384,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 33,590 | $1,380,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 186,990 | $1,380,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 110,905 | $1,379,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 41,478 | $1,378,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 91,765 | $1,378,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 15,786 | $1,374,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 147,165 | $1,370,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 14,587 | $1,369,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 38,300 | $1,369,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 111,503 | $1,365,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 190,383 | $1,356,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 1,152,000 | $1,355,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F676 | COM | 211,000 | $1,353,000 | thousands by filing date | call |
| ASCENT INDUSTRIES CO | 871565107 | COM | 86,432 | $1,350,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 158,937 | $1,346,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 399,051 | $1,345,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 168,823 | $1,345,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 29,330 | $1,344,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 187,356 | $1,343,000 | thousands by filing date | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 82,841 | $1,340,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 205,226 | $1,332,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 85,213 | $1,331,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 25,423 | $1,327,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 17,689 | $1,326,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 44,420 | $1,325,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 23,820 | $1,324,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 145,119 | $1,324,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 118,240 | $1,322,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 82,575 | $1,321,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2027 CORPORATE BOND ETF | 46138J783 | ETF | 64,319 | $1,319,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 136,660 | $1,319,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 18,736 | $1,316,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 92,715 | $1,316,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 42,307 | $1,314,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 316,730 | $1,314,000 | thousands by filing date | |
| INVESCO EXCHANGETRADED FD T DWA TACTCL SCT | 46138E826 | CEF | 42,052 | $1,314,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 611,500 | $1,311,000 | thousands by filing date | put |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 23,994 | $1,311,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 58,378 | $1,311,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 79,677 | $1,310,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 27,799 | $1,309,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 138,938 | $1,308,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 45,738 | $1,307,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 925,600 | $1,306,000 | thousands by filing date | put |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 444,371 | $1,306,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 86,277 | $1,299,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 86,586 | $1,297,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 1,043,000 | $1,296,000 | thousands by filing date | principal |
| FONAR CORP | 344437405 | COM NEW | 60,161 | $1,294,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 42,441 | $1,287,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 14,642 | $1,287,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 125,107 | $1,286,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 150,100 | $1,284,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 21,915 | $1,284,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 167,508 | $1,283,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 56,858 | $1,278,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 24,189 | $1,272,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 25,322 | $1,266,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 90,915 | $1,264,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 87,753 | $1,264,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 105,100 | $1,256,000 | thousands by filing date | put |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 1,263,000 | $1,256,000 | thousands by filing date | principal |
| GMS INC | 36251C103 | COM | 57,034 | $1,254,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 64,064 | $1,253,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 64,288 | $1,251,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 100,573 | $1,250,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 136,550 | $1,250,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 68,620 | $1,245,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 192,059 | $1,242,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 54,204 | $1,241,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 19,885 | $1,238,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 55,564 | $1,238,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 226,030 | $1,237,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 60,900 | $1,236,000 | thousands by filing date | call |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 81,823 | $1,236,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 35,855 | $1,235,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 16,981 | $1,234,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 64,653 | $1,232,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 27,726 | $1,231,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 24,660 | $1,231,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 103,574 | $1,229,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 21,878 | $1,227,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 61,889 | $1,226,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 47,550 | $1,225,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 51,577 | $1,225,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 19,564 | $1,224,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 122,135 | $1,220,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 54,959 | $1,220,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 114,700 | $1,213,000 | thousands by filing date | put |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 39,549 | $1,212,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 52,333 | $1,212,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 43,355 | $1,212,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 17,135 | $1,211,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 48,648 | $1,202,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 42,942 | $1,201,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 36,475 | $1,197,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 34,158 | $1,197,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 111,386 | $1,195,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 95,022 | $1,192,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 34,947 | $1,192,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 30,384 | $1,191,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 42,143 | $1,191,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 47,100 | $1,188,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 32,378 | $1,188,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 45,746 | $1,184,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 68,382 | $1,183,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 53,433 | $1,182,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 90,279 | $1,174,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 1,264,000 | $1,173,000 | thousands by filing date | principal |
| RE MAX HLDGS INC | 75524W108 | CL A | 38,080 | $1,171,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 57,415 | $1,171,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 33,380 | $1,167,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 149,100 | $1,167,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 29,495 | $1,167,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 67,664 | $1,164,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 666,125 | $1,164,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 375,150 | $1,163,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 57,501 | $1,162,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 19,377 | $1,162,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 20,243 | $1,161,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 176,170 | $1,158,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 52,818 | $1,157,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 35,953 | $1,157,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 79,540 | $1,154,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 24,851 | $1,153,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 87,056 | $1,146,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 54,925 | $1,144,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 18,442 | $1,143,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 86,505 | $1,143,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 41,430 | $1,143,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 1,110,000 | $1,142,000 | thousands by filing date | principal |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 684,000 | $1,139,000 | thousands by filing date | principal |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 57,107 | $1,138,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 38,789 | $1,138,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 62,055 | $1,136,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 41,036 | $1,136,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 45,149 | $1,135,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 41,483 | $1,133,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 42,533 | $1,132,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 17,409 | $1,130,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 33,017 | $1,129,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 51,361 | $1,129,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 59,004 | $1,128,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 113,180 | $1,126,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 1,152,000 | $1,124,000 | thousands by filing date | principal |
| CHARLES + COLVARD LTD | 159765106 | COM | 709,015 | $1,120,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 10,094 | $1,120,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 134,000 | $1,119,000 | thousands by filing date | call |
| Matrix Service Company | 576853105 | COM | 55,124 | $1,117,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 78,781 | $1,117,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 250,836 | $1,116,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 43,998 | $1,115,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 141,728 | $1,114,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 90,057 | $1,114,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 80,359 | $1,113,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 67,271 | $1,112,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 27,377 | $1,110,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 44,502 | $1,106,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 170,085 | $1,103,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 11,600 | $1,101,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 42,067 | $1,101,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 52,700 | $1,100,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 37,248 | $1,100,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 74,127 | $1,100,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 29,452 | $1,098,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 39,504 | $1,098,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 41,248 | $1,097,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 79,469 | $1,093,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 71,119 | $1,090,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 56,339 | $1,089,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 4,577 | $1,089,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 317,467 | $1,089,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 31,810 | $1,087,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 11,961 | $1,087,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 453,800 | $1,080,000 | thousands by filing date | call |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 128,760 | $1,077,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 111,661 | $1,073,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 86,493 | $1,071,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 22,086 | $1,071,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 21,414 | $1,065,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 29,400 | $1,064,000 | thousands by filing date | call |
| SOTHEBYS | 835898107 | COM | 18,239 | $1,060,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 99,641 | $1,056,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 25,789 | $1,056,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 41,315 | $1,056,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 16,215 | $1,052,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 115,275 | $1,049,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 55,257 | $1,049,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 87,374 | $1,048,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 129,967 | $1,048,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 313,600 | $1,047,000 | thousands by filing date | call |
| RITE AID CORP | 767754872 | COM | 130,669 | $1,047,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 50,058 | $1,045,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,170,000 | $1,043,000 | thousands by filing date | principal |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 241,000 | $1,043,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 41,333 | $1,036,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 27,995 | $1,035,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 34,900 | $1,032,000 | thousands by filing date | call |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 17,842 | $1,030,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 25,619 | $1,029,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 1,047,000 | $1,029,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 34,262 | $1,028,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 5,933 | $1,028,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 42,401 | $1,027,000 | thousands by filing date | |
| ORIGIN BANCORP INC | 68621T102 | COMMON STOCK | 31,074 | $1,026,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 36,646 | $1,020,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 65,112 | $1,019,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 9,406 | $1,018,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 34,451 | $1,018,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 13,225 | $1,016,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 95,177 | $1,012,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 82,626 | $1,010,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 35,736 | $1,009,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 89,557 | $1,008,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 55,948 | $1,006,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 24,829 | $1,003,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 28,890 | $999,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 72,134 | $999,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 29,860 | $998,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 148,177 | $995,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 56,972 | $993,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 180,814 | $990,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 18,711 | $989,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 159,792 | $986,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 84,240 | $985,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 75,406 | $982,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 234,094 | $981,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 63,800 | $980,000 | thousands by filing date | |
| TWIN RIV WORLDWIDE HLDGS INC | 90171V204 | COM | 32,913 | $979,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 123,621 | $978,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 114,532 | $978,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 17,262 | $976,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 27,996 | $975,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 1,341,151 | $975,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 55,780 | $974,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 69,639 | $974,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 48,489 | $973,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 852,198 | $972,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 253,319 | $971,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 44,657 | $969,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 107,480 | $968,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 351,900 | $968,000 | thousands by filing date | put |
| AIR T INC | 009207101 | COM | 55,169 | $965,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 102,975 | $964,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 368,685 | $963,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 25,600 | $962,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 19,836 | $960,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 62,639 | $960,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 17,843 | $959,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 50,513 | $959,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 105,114 | $957,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 45,664 | $956,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 76,967 | $952,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 963,000 | $952,000 | thousands by filing date | principal |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 58,783 | $951,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 78,614 | $946,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 231,380 | $946,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 273,000 | $945,000 | thousands by filing date | call |
| PENNYMAC FINL SVCS INC NEW | 70932M107 | COM | 42,514 | $944,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 11,085 | $944,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 158,873 | $943,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 115,013 | $943,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 47,605 | $940,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 28,189 | $940,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 35,594 | $939,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 368,972 | $938,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 1,486,600 | $937,000 | thousands by filing date | put |
| FS BANCORP INC | 30263Y104 | COM | 18,039 | $936,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 35,000 | $935,000 | thousands by filing date | call |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 81,531 | $933,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 91,016 | $932,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 39,583 | $929,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 30,908 | $927,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 21,737 | $925,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 77,796 | $925,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 456,100 | $924,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 450,000 | $924,000 | thousands by filing date | put |
| CNX RES CORP COM | 12653C108 | Stock | 126,110 | $921,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 56,962 | $920,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 94,341 | $919,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 35,310 | $914,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 250,200 | $913,000 | thousands by filing date | call |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 78,893 | $912,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 23,700 | $911,000 | thousands by filing date | put |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 16,713 | $911,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 152,682 | $910,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 162,305 | $909,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 36,700 | $908,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 384,800 | $906,000 | thousands by filing date | put |
| ANGEL OAK FINL STRATEGIES IN | 03464A100 | COM BEN INT | 45,018 | $905,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 52,860 | $902,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 75,446 | $900,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 99,224 | $896,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 48,582 | $895,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 134,920 | $892,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 150,619 | $890,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 83,480 | $889,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 33,783 | $888,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 89,200 | $884,000 | thousands by filing date | call |
| TAILORED BRANDS INC | 87403A107 | COM | 152,925 | $883,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 115,933 | $882,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 6,832 | $881,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 1,000,000 | $881,000 | thousands by filing date | principal |
| CEMEX SAB DE CV | 151290BR3 | NOTE 3.720% 3/1 | 882,000 | $881,000 | thousands by filing date | principal |
| GENERAL MTRS CO COM | 37045V100 | Stock | 446,700 | $879,000 | thousands by filing date | call |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 31,268 | $879,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 31,245 | $879,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 100,000 | $878,000 | thousands by filing date | put |
| ARVINAS INC | 04335A105 | COM | 39,786 | $876,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 48,091 | $876,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 57,036 | $874,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 78,610 | $872,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 93,039 | $872,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 176,716 | $872,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 1,125,000 | $870,000 | thousands by filing date | put |
| HYSTER-YALE INC | 449172105 | CL A | 15,739 | $870,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 29,523 | $870,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 29,372 | $868,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 40,698 | $868,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 31,963 | $867,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 104,851 | $867,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 66,170 | $865,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 1,000,000 | $865,000 | thousands by filing date | principal |
| METHANEX CORP COM | 59151K108 | Stock | 18,977 | $863,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 47,035 | $860,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 67,373 | $860,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 96,860 | $859,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 52,214 | $855,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 40,737 | $854,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 89,192 | $854,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 156,850 | $853,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 83,304 | $851,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 34,249 | $850,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 45,062 | $849,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 15,796 | $849,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 26,519 | $849,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 51,007 | $848,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 28,665 | $848,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 97,705 | $847,000 | thousands by filing date | put |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 56,266 | $847,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 1,000,000 | $847,000 | thousands by filing date | principal |
| EMC INS GROUP INC | 268664109 | COM | 23,494 | $847,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 34,420 | $846,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 350,000 | $846,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 16,489 | $845,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 89,254 | $845,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 35,083 | $844,000 | thousands by filing date | |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 13,075 | $844,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 22,208 | $844,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 35,547 | $844,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 32,565 | $843,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 34,149 | $843,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 21,767 | $843,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 46,450 | $842,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-19-000339 | this filing | 2019-08-06 | acceptance time not in the bulk data set |