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 |
|---|---|---|---|---|---|---|
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 36,079 | $841,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 151,170 | $839,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 25,251 | $838,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 22,325 | $837,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 48,677 | $837,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 102,625 | $836,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 24,786 | $836,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 42,448 | $835,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 65,717 | $835,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 23,907 | $834,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 9,441 | $834,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 124,524 | $833,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 48,061 | $833,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 42,020 | $832,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 28,499 | $831,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 36,331 | $831,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 18,403 | $828,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 37,639 | $828,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 48,381 | $828,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 20,772 | $826,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 200,000 | $823,000 | thousands by filing date | call |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 96,995 | $823,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 71,121 | $823,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 35,745 | $822,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 18,022 | $821,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 169,395 | $820,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 57,017 | $820,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 442,604 | $819,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 76,797 | $819,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 47,725 | $818,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 47,911 | $818,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 82,026 | $818,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 234,915 | $818,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 113,164 | $816,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 50,922 | $815,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 70,047 | $814,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 89,581 | $814,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 15,311 | $814,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 33,465 | $813,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 49,735 | $812,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 28,783 | $810,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 35,682 | $810,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 65,908 | $810,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 36,147 | $809,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 33,800 | $809,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 165,220 | $808,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 57,291 | $808,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 119,606 | $806,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 33,347 | $802,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 18,603 | $802,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 34,974 | $801,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 45,037 | $801,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 19,770 | $800,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 815,000 | $800,000 | thousands by filing date | principal |
| ASTEC INDS INC | 046224101 | COM | 24,556 | $799,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 62,154 | $799,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 57,661 | $799,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,225,451 | $797,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 20,715 | $796,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 24,510 | $795,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 59,083 | $794,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 73,543 | $793,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 35,710 | $791,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 36,722 | $789,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 38,240 | $787,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 32,779 | $782,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 26,561 | $781,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 57,857 | $780,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 91,929 | $780,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 36,395 | $780,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 95,291 | $779,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 18,005 | $779,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 133,649 | $779,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 58,249 | $778,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 36,000 | $777,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 46,600 | $776,000 | thousands by filing date | call |
| ISHARES | 46435U432 | EXCHANGE TRADED | 28,627 | $771,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 100,907 | $769,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 25,385 | $769,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 16,690 | $768,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 65,836 | $768,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 56,578 | $768,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 124,369 | $767,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 49,224 | $763,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 23,747 | $763,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 49,846 | $762,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 28,587 | $762,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 51,108 | $760,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 5,064 | $757,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 97,716 | $757,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 76,795 | $757,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 32,150 | $756,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 224,180 | $756,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 115,341 | $756,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 19,049 | $754,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 24,771 | $754,000 | thousands by filing date | |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 6,744 | $752,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 7,164 | $751,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 37,798 | $749,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 106,760 | $749,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 126,463 | $747,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 91,794 | $746,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 52,417 | $745,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 37,353 | $744,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 412,281 | $742,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 35,696 | $742,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 13,592 | $742,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 26,288 | $741,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 24,191 | $740,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 82,868 | $740,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 30,791 | $735,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 46,328 | $734,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 48,753 | $733,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 8,954 | $733,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 35,719 | $732,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 130,309 | $732,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 270,000 | $731,000 | thousands by filing date | put |
| ONESPAN INC | 68287N100 | COM | 51,583 | $731,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 15,884 | $726,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 13,307 | $723,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 18,864 | $723,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 110,697 | $723,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 29,288 | $723,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 52,976 | $723,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 231,237 | $722,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 60,159 | $722,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 47,121 | $722,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 51,545 | $721,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 65,275 | $720,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 49,140 | $719,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 975,000 | $718,000 | thousands by filing date | call |
| CLEARWATER PAPER CORP | 18538R103 | COM | 38,818 | $717,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 103,549 | $717,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 72,302 | $716,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 23,126 | $716,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 51,274 | $716,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 34,170 | $712,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 17,818 | $711,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 110,396 | $707,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 35,579 | $707,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 40,947 | $705,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 30,668 | $705,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 111,322 | $704,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 30,563 | $703,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 95,254 | $702,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 105,800 | $701,000 | thousands by filing date | put |
| BANK FIRST CORP | 06211J100 | COM | 10,156 | $701,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 56,334 | $701,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 65,396 | $699,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 119,867 | $699,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 113,173 | $698,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 183,419 | $695,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 91,056 | $695,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 58,804 | $693,000 | thousands by filing date | put |
| International Business Machines Corporation | 459200101 | COM | 236,800 | $692,000 | thousands by filing date | call |
| PGT INNOVATIONS INC | 69336V101 | COM | 41,421 | $692,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 13,577 | $691,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V522 | BLOO AN RATI ETF | 15,382 | $691,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 24,952 | $691,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 50,711 | $689,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 39,336 | $689,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 153,000 | $688,000 | thousands by filing date | put |
| Oracle Corporation | 68389X105 | COM | 1,046,912 | $687,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 20,501 | $684,000 | thousands by filing date | |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 25,668 | $683,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 45,195 | $683,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 47,616 | $682,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 354,756 | $680,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 51,649 | $679,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 41,263 | $678,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 81,366 | $678,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 54,321 | $677,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 11,517 | $674,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 43,670 | $673,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 98,322 | $671,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 24,896 | $668,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 69,108 | $666,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 27,025 | $666,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 3,697,400 | $664,000 | thousands by filing date | put |
| AC IMMUNE SA | H00263105 | SHS | 119,694 | $664,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 201,896 | $664,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 55,000 | $663,000 | thousands by filing date | call |
| CAMBRIDGE BANCORP | 132152109 | COM | 8,123 | $662,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 50,229 | $661,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 353,600 | $660,000 | thousands by filing date | call |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 61,600 | $659,000 | thousands by filing date | put |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 40,536 | $659,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 42,459 | $658,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 56,679 | $658,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 151,205 | $656,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 67,425 | $655,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 35,792 | $655,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576101 | COMMON STOCK | 33,138 | $654,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 78,381 | $654,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 21,966 | $653,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 248,560 | $652,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 24,177 | $650,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 147,795 | $650,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 192,277 | $650,000 | thousands by filing date | |
| FRANKLIN LIBERTY HIGH YIELD | 35473P629 | LIBERTY HI YLD | 25,254 | $649,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 64,741 | $647,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 113,622 | $645,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 61,095 | $645,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 57,209 | $645,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 43,308 | $645,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 125,613 | $644,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 44,401 | $644,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 16,459 | $644,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 254,709 | $644,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 106,102 | $643,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 9,653 | $643,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 744,069 | $640,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 69,045 | $639,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 57,626 | $639,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 44,656 | $637,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 119,600 | $636,000 | thousands by filing date | call |
| Waste Management, Inc. | 94106L109 | COM | 149,300 | $635,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 19,068 | $634,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 57,012 | $633,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 38,371 | $633,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 18,574 | $632,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 12,655 | $631,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 49,457 | $631,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 23,473 | $631,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 82,300 | $631,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 87,500 | $630,000 | thousands by filing date | call |
| ORION S.A. | L72967109 | COM | 29,395 | $630,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 52,544 | $630,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 54,989 | $629,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 16,415 | $629,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 60,925 | $629,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 43,917 | $626,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 12,947 | $624,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 23,123 | $624,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 16,409 | $623,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 51,989 | $623,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 30,680 | $622,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 95,572 | $621,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 39,604 | $618,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 30,608 | $618,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 78,815 | $618,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 15,981 | $617,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 153,508 | $616,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 255,600 | $616,000 | thousands by filing date | call |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 77,555 | $613,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 60,314 | $613,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 24,930 | $611,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 46,545 | $611,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 43,262 | $610,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 23,197 | $610,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 41,429 | $610,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 75,000 | $606,000 | thousands by filing date | put |
| TUCOWS INC | 898697206 | COM NEW | 9,931 | $606,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 12,514 | $605,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 547,000 | $605,000 | thousands by filing date | principal |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 39,865 | $602,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V712 | BLOO MVP MUL ETF | 6,139 | $602,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 6,275 | $600,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 41,999 | $599,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AC4 | BOND | 585,000 | $599,000 | thousands by filing date | principal |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 46,701 | $596,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 41,185 | $595,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 4,829 | $595,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 232,208 | $593,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 240,120 | $593,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 21,842 | $592,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 30,202 | $591,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 120,415 | $591,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 59,410 | $590,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 40,012 | $589,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 15,140 | $586,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 18,160 | $585,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 77,748 | $585,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 41,787 | $584,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 47,005 | $583,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 21,630 | $582,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 47,251 | $582,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 39,978 | $580,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 29,083 | $579,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 39,093 | $579,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 72,791 | $577,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 153,800 | $575,000 | thousands by filing date | call |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 144,800 | $572,000 | thousands by filing date | put |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 572,000 | $572,000 | thousands by filing date | principal |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 40,332 | $571,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 459,854 | $570,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 25,578 | $568,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 37,936 | $567,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 199,800 | $567,000 | thousands by filing date | call |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 24,015 | $564,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 250,000 | $564,000 | thousands by filing date | put |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 21,539 | $562,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 352,400 | $561,000 | thousands by filing date | call |
| ISHARES TR | 46434V886 | CMN | 18,492 | $561,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 51,049 | $561,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 39,929 | $560,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G680 | S&P FINCIAL REVE | 8,265 | $560,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 83,200 | $557,000 | thousands by filing date | call |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 2,813 | $557,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 66,393 | $557,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 1,571,500 | $556,000 | thousands by filing date | put |
| CENTENE CORP DEL COM | 15135B101 | Stock | 255,900 | $556,000 | thousands by filing date | put |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 24,687 | $556,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 10,820 | $556,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 57,765 | $556,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 189,094 | $556,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 54,128 | $555,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 112,883 | $555,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 294,601 | $554,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 52,830 | $553,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 29,071 | $553,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 14,088 | $553,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 35,704 | $552,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 46,689 | $551,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 17,176 | $551,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 176,956 | $550,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 25,909 | $550,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 55,557 | $550,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 30,470 | $549,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 104,885 | $549,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 141,454 | $549,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 48,827 | $548,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 32,722 | $547,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 48,829 | $547,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 58,659 | $546,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 276,155 | $545,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 81,153 | $545,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 89,349 | $544,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 80,877 | $543,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 27,451 | $540,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 36,279 | $539,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 55,790 | $539,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 6,349 | $539,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 82,800 | $534,000 | thousands by filing date | call |
| EVANS BANCORP INC | 29911Q208 | COM | 14,144 | $534,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 166,469 | $533,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 23,964 | $531,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 139,193 | $530,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 113,675 | $530,000 | thousands by filing date | |
| SAFEHOLD INC | 78645L100 | COM | 17,460 | $528,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 19,874 | $527,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 15,526 | $527,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 85,628 | $526,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 202,720 | $526,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 51,754 | $526,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 9,399 | $525,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 156,417 | $525,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 23,630 | $525,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 44,561 | $524,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 25,749 | $524,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 23,932 | $523,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 43,346 | $522,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 45,840 | $522,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 44,251 | $522,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 16,425 | $521,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 1,026,299 | $517,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 55,307 | $516,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 39,543 | $516,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 16,400 | $515,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 34,781 | $515,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 192,558 | $514,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 16,851 | $514,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 77,993 | $513,000 | thousands by filing date | |
| CAPITOL INVT CORP IV | G18920101 | CL A ORD | 50,123 | $513,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 339,900 | $511,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 212,800 | $511,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 20,506 | $510,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 200,000 | $509,000 | thousands by filing date | put |
| VERITIV CORP | 923454102 | COM | 26,172 | $509,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 29,879 | $508,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 103,826 | $506,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 20,199 | $505,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 67,384 | $505,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 39,890 | $504,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 70,458 | $504,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 13,274 | $503,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 36,609 | $503,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 19,696 | $502,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 33,458 | $501,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 22,295 | $501,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 26,565 | $500,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 509,000 | $500,000 | thousands by filing date | principal |
| TORTOISE ESSENTIAL ASSETS IN | 89148A103 | COM SH BEN INT | 28,160 | $499,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 143,874 | $498,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 79,819 | $497,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 36,268 | $496,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 22,555 | $496,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 13,032 | $493,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 25,024 | $492,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 12,504 | $491,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 33,404 | $491,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 491,000 | $491,000 | thousands by filing date | principal |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 16,823 | $489,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 26,103 | $489,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 444,000 | $488,000 | thousands by filing date | principal |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 56,331 | $487,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 30,634 | $487,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 45,432 | $486,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 78,178 | $486,000 | thousands by filing date | |
| TELEFLEX INCORPORATED | 879369106 | COM | 15,000 | $484,000 | thousands by filing date | call |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 8,132 | $483,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 51,588 | $483,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 17,945 | $483,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 258,308 | $483,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 419,501 | $482,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 434,000 | $482,000 | thousands by filing date | principal |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 12,771 | $481,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 229,831 | $480,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 113,200 | $480,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 41,973 | $480,000 | thousands by filing date | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 21,802 | $479,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 79,235 | $478,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 8,132 | $477,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 245,024 | $476,000 | thousands by filing date | put |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 12,978 | $476,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 18,570 | $476,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 18,218 | $474,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 21,751 | $472,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 12,173 | $471,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 11,488 | $470,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 24,331 | $470,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 34,703 | $469,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 39,799 | $468,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 89,829 | $467,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 499,615 | $466,000 | thousands by filing date | put |
| LENDINGCLUB CORP | 52603A109 | COM | 142,087 | $466,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 20,472 | $466,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 309,500 | $465,000 | thousands by filing date | put |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 15,974 | $465,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 40,336 | $465,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 6,573 | $463,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 11,122 | $463,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 25,381 | $461,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 69,318 | $461,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 26,011 | $460,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 16,013 | $459,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 7,840 | $458,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 243,900 | $457,000 | thousands by filing date | call |
| WESTERN DIGITAL CORP | 958102105 | COM | 51,900 | $457,000 | thousands by filing date | put |
| CARBONITE INC | 141337105 | COM | 17,567 | $457,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 30,375 | $456,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 12,299 | $455,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 28,754 | $453,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 22,543 | $453,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 117,692 | $452,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 33,825 | $451,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 30,504 | $451,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 40,900 | $448,000 | thousands by filing date | put |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 14,486 | $448,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 9,228 | $446,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 31,877 | $446,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 18,870 | $446,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 19,968 | $446,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 36,640 | $445,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 103,200 | $444,000 | thousands by filing date | put |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 383,199 | $444,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 30,021 | $443,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 37,819 | $442,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 39,486 | $441,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 52,245 | $441,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 8,828 | $441,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 37,558 | $440,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 19,024 | $440,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 38,120 | $440,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 70,141 | $440,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 18,520 | $439,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 14,097 | $439,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 31,000 | $438,000 | thousands by filing date | call |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 19,203 | $438,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 166,500 | $437,000 | thousands by filing date | put |
| UPWORK INC | 91688F104 | COM | 27,193 | $437,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 21,635 | $437,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 30,000 | $435,000 | thousands by filing date | put |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 87,776 | $435,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 11,066 | $434,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 31,927 | $433,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 5,411 | $432,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 27,860 | $432,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 31,552 | $432,000 | thousands by filing date | |
| TENABLE HLDGS INC | 88025T102 | COM | 15,047 | $429,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 40,681 | $429,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 18,767 | $429,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 295,400 | $428,000 | thousands by filing date | call |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 14,525 | $427,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 14,233 | $427,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 83,019 | $427,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 149,875 | $427,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 5,448 | $426,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 11,971 | $426,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 253,063 | $426,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 37,616 | $425,000 | thousands by filing date | |
| CARBON BLACK INC | 14081R103 | COM | 25,460 | $425,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 181,000 | $424,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 15,457 | $424,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 2,702 | $423,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 19,751 | $423,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 44,284 | $423,000 | thousands by filing date | |
| Canadian $ ETF | 46138T104 | ETF | 5,603 | $422,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 25,909 | $421,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 9,531 | $420,000 | 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 |