13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-12, with 6,891 holding rows worth $352,889,026,000.
- Accession
- 0000072971-19-000424
- Filer
- CIK 72971
- Filed
- 2019-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 20,084 entries on the cover page, a total value of $352,889,026,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $352,889,026,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPTIAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Citigroup, Inc
- included managerWells Fargo 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 |
|---|---|---|---|---|---|---|
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 4,008 | $187,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 3,157 | $187,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 35,404 | $187,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 15,669 | $186,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 200,000 | $186,000 | thousands by filing date | principal |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 28,832 | $186,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 277,800 | $184,000 | thousands by filing date | put |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 18,462 | $184,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 66,244 | $184,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 17,274 | $183,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 136,100 | $182,000 | thousands by filing date | call |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 15,524 | $181,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 24,564 | $181,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 31,252 | $181,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 77,129 | $181,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 16,850 | $180,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 53,600 | $179,000 | thousands by filing date | call |
| DAVITA INC COM | 23918K108 | Stock | 20,000 | $179,000 | thousands by filing date | put |
| ENERGY FUELS INC | 292671708 | COM NEW | 92,726 | $179,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 16,988 | $179,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 43,605 | $179,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 21,550 | $179,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 20,195 | $179,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 89,833 | $179,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 16,525 | $179,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 7,415 | $179,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 10,453 | $178,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 31,473 | $178,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 6,421 | $178,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 25,995 | $178,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 2,783 | $178,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 39,207 | $178,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 28,541 | $178,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 133,561 | $177,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 10,217 | $177,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 146,362 | $177,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 170,000 | $177,000 | thousands by filing date | principal |
| Lowes Companies,Inc. | 548661107 | COM | 400 | $176,000 | thousands by filing date | put |
| OCCIDENTAL PETE CORP | 674599105 | COM | 238,400 | $176,000 | thousands by filing date | call |
| NIO INC SPON ADS | 62914V106 | ADR | 112,353 | $176,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 16,167 | $176,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 14,917 | $176,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 10,272 | $175,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 51,784 | $175,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 131,000 | $175,000 | thousands by filing date | call |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 23,531 | $175,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 145,000 | $175,000 | thousands by filing date | principal |
| SOLARWINDS CORP | 83417Q105 | COM | 9,453 | $175,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 215,500 | $173,000 | thousands by filing date | put |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 2,354 | $173,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 8,992 | $173,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 5,428 | $173,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 17,498 | $173,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 28,463 | $173,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 27,734 | $173,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 28,525 | $173,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 4,850 | $172,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 9,801 | $172,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 5,352 | $170,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 10,618 | $170,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 103,713 | $170,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 7,193 | $170,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 91,500 | $170,000 | thousands by filing date | call |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 33,232 | $169,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 55,079 | $168,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 150,000 | $168,000 | thousands by filing date | principal |
| Honeywell Technologies | 438516106 | COM | 25,000 | $167,000 | thousands by filing date | call |
| GREIF INC | 397624206 | CL B | 3,664 | $167,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 7,684 | $167,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 14,861 | $167,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 22,305 | $167,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 18,084 | $166,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 3,397 | $166,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 17,840 | $166,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 42,009 | $166,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 124,081 | $166,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 32,754 | $165,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 54,657 | $165,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 4,381 | $164,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 30,200 | $164,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 18,591 | $164,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 11,395 | $164,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 6,997 | $163,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 17,625 | $162,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 153,000 | $162,000 | thousands by filing date | principal |
| FTS INTERNATIONAL INC | 30283W104 | COM | 72,335 | $162,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 7,237 | $161,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 150,000 | $161,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 24,723 | $161,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 20,502 | $161,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 15,800 | $160,000 | thousands by filing date | put |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 6,007 | $160,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 30,517 | $160,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 15,519 | $160,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 3,780 | $159,000 | thousands by filing date | put |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 125,000 | $159,000 | thousands by filing date | put |
| INTEVAC INC | 461148108 | COM | 30,324 | $159,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 24,865 | $159,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 7,487 | $158,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 17,431 | $158,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 11,000 | $158,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 7,200 | $157,000 | thousands by filing date | call |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 50,885 | $157,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 11,024 | $157,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 158,000 | $157,000 | thousands by filing date | principal |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 17,290 | $156,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 11,431 | $156,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 4,416 | $155,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 71,680 | $155,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 36,000 | $155,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 2,933 | $154,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 5,000 | $154,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 6,704 | $153,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 36,985 | $153,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 12,524 | $153,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 19,063 | $153,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 70,142 | $153,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 5,611 | $153,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 15,361 | $152,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 34,007 | $152,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E608 | KNLDG LD WD ETF | 4,511 | $152,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 56,785 | $151,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 40,195 | $151,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 11,515 | $151,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 124,938 | $151,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 26,411 | $151,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 58,500 | $150,000 | thousands by filing date | call |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 73,497 | $150,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 2,398 | $150,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 45,019 | $150,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 27,518 | $150,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 6,343 | $150,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 23,453 | $149,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 3,931 | $149,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 10,110 | $148,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 13,993 | $148,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 196,300 | $146,000 | thousands by filing date | put |
| TARGA RES CORP COM | 87612G101 | Stock | 115,000 | $146,000 | thousands by filing date | call |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 23,500 | $146,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 2,715 | $146,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 6,018 | $146,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,654 | $146,000 | thousands by filing date | |
| COUPA SOFTWARE INC | 22266LAB2 | NOTE 0.375% 1/1 | 50,000 | $146,000 | thousands by filing date | principal |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 14,380 | $145,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 41,800 | $145,000 | thousands by filing date | put |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 9,780 | $145,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 148,292 | $144,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 16,612 | $144,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 9,266 | $144,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 3,597 | $144,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 8,245 | $143,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 283,629 | $143,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 38,866 | $143,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 221,578 | $141,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 4,618 | $140,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 19,000 | $139,000 | thousands by filing date | call |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 2,301 | $139,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 8,611 | $139,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 7,385 | $139,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 3,514 | $139,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 120,000 | $139,000 | thousands by filing date | principal |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 47,306 | $139,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 7,181 | $139,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 9,551 | $138,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 9,878 | $138,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 8,302 | $138,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 41,926 | $138,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 41,118 | $138,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 9,618 | $138,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 6,337 | $138,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 107,237 | $138,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 1,892 | $137,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 1,050 | $136,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 59,800 | $136,000 | thousands by filing date | call |
| SIEBERT FINL CORP | 826176109 | COM | 14,777 | $136,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 1,842 | $136,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 3,741 | $136,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CL C | 24703L202 | Stock | 124,900 | $135,000 | thousands by filing date | call |
| ACM RESH INC COM CL A | 00108J109 | Stock | 9,736 | $135,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 37,179 | $135,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 4,336 | $135,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 12,163 | $135,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 4,133 | $134,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 13,645 | $134,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 3,646 | $133,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 44,374 | $133,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 107,984 | $133,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 8,048 | $132,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 26,093 | $132,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 15,321 | $132,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 2,814 | $132,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 155,900 | $131,000 | thousands by filing date | put |
| TTOO | 89853L104 | Stock | 51,918 | $131,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 3,665 | $131,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 130,000 | $131,000 | thousands by filing date | principal |
| SURGERY PARTNERS INC | 86881A100 | COM | 17,635 | $130,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 66,400 | $130,000 | thousands by filing date | put |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 7,967 | $130,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 7,606 | $130,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 38,720 | $130,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 11,872 | $128,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 100,000 | $128,000 | thousands by filing date | put |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 18,154 | $128,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 10,140 | $128,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 17,800 | $127,000 | thousands by filing date | call |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 50,564 | $127,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 2,453 | $127,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 10,200 | $127,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 3,400 | $127,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 13,935 | $127,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 14,500 | $127,000 | thousands by filing date | put |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 8,466 | $127,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 33,977 | $127,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 70,713 | $126,000 | thousands by filing date | put |
| United Parcel Service,Inc. Class B | 911312106 | COM | 40,400 | $126,000 | thousands by filing date | put |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 375,000 | $125,000 | thousands by filing date | call |
| BANK7 CORP | 06652N107 | COMMON STOCK | 6,653 | $125,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 31,540 | $125,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 11,654 | $125,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 40,471 | $124,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 14,537 | $124,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 6,552 | $124,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 23,604 | $124,000 | thousands by filing date | |
| AVEDRO INC | 05355N109 | COM | 5,445 | $124,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 128,013 | $124,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 98,225 | $124,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 60,800 | $123,000 | thousands by filing date | put |
| AMPLIFY ETF TR | 032108102 | CMN | 2,629 | $123,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 4,185 | $123,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 16,317 | $123,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 6,208 | $122,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 28,014 | $121,000 | thousands by filing date | put |
| SOTHERLY HOTELS INC | 83600C103 | COM | 18,101 | $121,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 40,000 | $121,000 | thousands by filing date | put |
| HC2 HLDGS INC | 404139107 | COM | 51,266 | $121,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 8,843 | $120,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 105,000 | $120,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,277 | $119,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 2,805 | $119,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 120,000 | $119,000 | thousands by filing date | principal |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 23,452 | $118,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 20,301 | $118,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 36,175 | $118,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 35,738 | $118,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 15,075 | $117,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 17,922 | $117,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 16,973 | $116,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 61,600 | $116,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,806 | $116,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $116,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 11,751 | $116,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 99,099 | $116,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 12,406 | $116,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 14,804 | $115,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 7,805 | $115,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 7,900 | $114,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 2,840 | $114,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 4,542 | $114,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 14,637 | $114,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 27,201 | $114,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 11,750 | $114,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 9,315 | $113,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 110,000 | $113,000 | thousands by filing date | principal |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 8,996 | $112,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 1,533 | $112,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 9,580 | $112,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 74,044 | $112,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 245,000 | $111,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 4,026 | $111,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 4,726 | $111,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 22,021 | $111,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 178,760 | $111,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,382 | $111,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 70,000 | $110,000 | thousands by filing date | call |
| NEW GOLD INC CDA | 644535106 | COM | 108,448 | $110,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 16,444 | $110,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 9,555 | $110,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 3,564 | $109,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 16,000 | $109,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 15,040 | $109,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 4,748 | $108,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 947 | $108,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 5,445 | $108,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 7,496 | $108,000 | thousands by filing date | |
| World Gold TR | 98149E204 | SPRD GLD Minis | 7,345 | $108,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 40,801 | $108,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 7,681 | $108,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 65,000 | $108,000 | thousands by filing date | principal |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 15,070 | $107,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 8,501 | $107,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 53,300 | $107,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 48,844 | $107,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 13,411 | $107,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 9,972 | $107,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 93,531 | $106,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 5,020 | $106,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 28,762 | $106,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 7,737 | $106,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 75,143 | $106,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 2,595 | $105,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 6,444 | $105,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 2,115 | $105,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 36,131 | $105,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 270,000 | $104,000 | thousands by filing date | put |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 5,145 | $104,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 5,651 | $104,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 1,364 | $103,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 18,744 | $103,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 14,653 | $103,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 2,029 | $102,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 387,405 | $102,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 1,805 | $101,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 7,049 | $101,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 54,161 | $101,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 16,500 | $101,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 35,000 | $100,000 | thousands by filing date | put |
| XBIOTECH INC | 98400H102 | COM | 9,608 | $100,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 8,194 | $100,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 14,247 | $100,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 32,489 | $100,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 100,000 | $100,000 | thousands by filing date | principal |
| Mondelez International,Inc. Class A | 609207105 | COM | 44,000 | $99,000 | thousands by filing date | call |
| DEXCOM INC COM | 252131107 | Stock | 55,000 | $99,000 | thousands by filing date | put |
| YAMANA GOLD INC | 98462Y100 | COM | 31,152 | $99,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 18,336 | $98,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 58,000 | $98,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,515 | $98,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 20,000 | $98,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 21,885 | $98,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 120,000 | $98,000 | thousands by filing date | principal |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 6,523 | $97,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 17,889 | $97,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 38,986 | $97,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 99,000 | $97,000 | thousands by filing date | principal |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 65,842 | $97,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 750 | $96,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 42,500 | $96,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 2,706 | $96,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 60,380 | $96,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 4,010 | $96,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 5,135 | $95,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 20,061 | $95,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 112,198 | $95,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 95,000 | $95,000 | thousands by filing date | principal |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,001 | $94,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 272,300 | $94,000 | thousands by filing date | put |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 10,557 | $94,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 5,359 | $94,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 42,953 | $94,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 10,593 | $94,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 47,285 | $93,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 2,480 | $93,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 150,000 | $92,000 | thousands by filing date | call |
| BRIDGFORD FOODS CORP | 108763103 | COM | 3,048 | $92,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 22,014 | $92,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,891 | $92,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 33,619 | $92,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CL C | 24703L202 | Stock | 49,400 | $91,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 150,000 | $91,000 | thousands by filing date | call |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 36,564 | $91,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 23,109 | $91,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 59,422 | $91,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,500 | $90,000 | thousands by filing date | put |
| CAMTEK LTD ORD | M20791105 | Stock | 9,548 | $90,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 56,800 | $90,000 | thousands by filing date | call |
| EVERQUOTE INC | 30041R108 | COM CL A | 4,251 | $90,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 6,442 | $90,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 1,816 | $90,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 25,000 | $90,000 | thousands by filing date | put |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 3,001 | $89,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 4,475 | $89,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 4,700 | $89,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 56,640 | $89,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 16,490 | $89,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 91,000 | $89,000 | thousands by filing date | principal |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 12,038 | $88,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 11,729 | $88,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 32,515 | $88,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 5,552 | $88,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 341 | $87,000 | thousands by filing date | put |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 7,200 | $87,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $87,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 10,497 | $87,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 8,588 | $87,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 3,089 | $86,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 14,897 | $86,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 61,988 | $86,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 26,601 | $85,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 45,000 | $84,000 | thousands by filing date | put |
| NIKE,Inc. Class B | 654106103 | COM | 9,000 | $84,000 | thousands by filing date | call |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 2,807 | $84,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 12,537 | $84,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 2,176 | $83,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 83,000 | $83,000 | thousands by filing date | principal |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,300 | $82,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 45,400 | $82,000 | thousands by filing date | call |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 5,400 | $82,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 140,000 | $82,000 | thousands by filing date | put |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 9,997 | $82,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 1,692 | $82,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 12,633 | $82,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 18,470 | $81,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 289,900 | $81,000 | thousands by filing date | put |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 46,379 | $81,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 458,800 | $81,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W323 | CMN | 3,459 | $81,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 10,734 | $81,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 80,000 | $81,000 | thousands by filing date | principal |
| HP INC COM | 40434L105 | Stock | 178,700 | $80,000 | thousands by filing date | call |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 3,378 | $80,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 8,344 | $80,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 4,341 | $80,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 2,258 | $80,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 3,799 | $80,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 164,400 | $79,000 | thousands by filing date | put |
| RTW RETAILWINDS INC | 74980D100 | COM | 57,972 | $79,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 16,069 | $78,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 49,835 | $78,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 4,768 | $78,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 11,115 | $78,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 18,043 | $78,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 3,969 | $78,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 4,192 | $78,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 23,881 | $78,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 76,000 | $78,000 | thousands by filing date | principal |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 3,705 | $78,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 10,200 | $76,000 | thousands by filing date | put |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 95,000 | $76,000 | thousands by filing date | call |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,750 | $76,000 | thousands by filing date | |
| BRP INC COM SUN VTG | 05577W200 | Stock | 1,928 | $75,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 4,615 | $75,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 3,784 | $74,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 3,441 | $74,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,471 | $74,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 851 | $74,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 11,631 | $74,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 43,760 | $74,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 10,735 | $74,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 72,000 | $74,000 | thousands by filing date | principal |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 15,000 | $73,000 | thousands by filing date | call |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 40,200 | $73,000 | thousands by filing date | put |
| L BRANDS INC | 501797104 | COM | 89,200 | $73,000 | thousands by filing date | call |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 25,800 | $73,000 | thousands by filing date | put |
| Walmart Inc. | 931142103 | COM | 10,000 | $72,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 327,000 | $72,000 | thousands by filing date | call |
| MVC CAPITAL INC | 553829102 | COM | 8,060 | $72,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 1,548 | $72,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 60,998 | $72,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 2,100 | $71,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 43,900 | $71,000 | thousands by filing date | put |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 48,000 | $71,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 250,000 | $70,000 | thousands by filing date | put |
| DILLARDS INC CL A | 254067101 | Stock | 10,000 | $70,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 1,435 | $70,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 4,599 | $70,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 2,095 | $70,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 49,634 | $70,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 181,800 | $69,000 | thousands by filing date | put |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 2,941 | $69,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 15,986 | $69,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 59,900 | $68,000 | thousands by filing date | call |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 17,300 | $68,000 | thousands by filing date | call |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 5,811 | $68,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 65,000 | $68,000 | thousands by filing date | principal |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 2,905 | $68,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 25,800 | $67,000 | thousands by filing date | put |
| Stryker Corporation | 863667101 | COM | 30,400 | $67,000 | thousands by filing date | call |
| ALERUS FINL CORP | 01446U103 | COM | 3,079 | $67,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 5,420 | $67,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 25,000 | $67,000 | thousands by filing date | call |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 6,405 | $67,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 48,994 | $67,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 12,900 | $67,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 32,035 | $67,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 32,122 | $67,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 19,255 | $67,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 22,037 | $66,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 7,821 | $66,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 65,000 | $66,000 | thousands by filing date | principal |
| BARRICK GOLD CORP | 067901108 | COM | 350,000 | $65,000 | thousands by filing date | call |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 3,599 | $65,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 3,599 | $65,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 16,642 | $65,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $65,000 | thousands by filing date | principal |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 6,200 | $65,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 3,282 | $64,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 8,395 | $64,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 15,454 | $64,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 27,876 | $64,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 96,100 | $63,000 | thousands by filing date | call |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 200,000 | $63,000 | thousands by filing date | call |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,996 | $63,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 26,468 | $63,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 60,000 | $63,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 16,000 | $63,000 | thousands by filing date | principal |
| V F CORP COM | 918204108 | Stock | 10,000 | $62,000 | thousands by filing date | call |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 2,671 | $62,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 31,866 | $62,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 63,000 | $62,000 | thousands by filing date | principal |
| CORNING INC | 219350105 | COM | 20,000 | $61,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-19-000424 | this filing | 2019-11-12 | acceptance time not in the bulk data set |