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 |
|---|---|---|---|---|---|---|
| TOLL BROTHERS INC COM | 889478103 | Stock | 100,000 | $7,000 | thousands by filing date | put |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 201 | $7,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 1,296 | $7,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 1,500 | $7,000 | thousands by filing date | put |
| TIFFANY & CO NEW | 886547108 | COM | 30 | $7,000 | thousands by filing date | put |
| SOUND FINL BANCORP INC | 83607A100 | COM | 200 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 248 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 232 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 201 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y609 | CMN | 288 | $7,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 185 | $7,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 2,000 | $7,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 6,000 | $7,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,000 | $7,000 | thousands by filing date | |
| NULL | 09071M205 | NULL | 2,701 | $7,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 8,000 | $7,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 622 | $7,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 2,568 | $7,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 4,050 | $7,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 544 | $7,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 22,487 | $7,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 3,200 | $6,000 | thousands by filing date | put |
| NIKE,Inc. Class B | 654106103 | COM | 22,300 | $6,000 | thousands by filing date | put |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 64,400 | $6,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 7,000 | $6,000 | thousands by filing date | put |
| VERISIGN INC COM | 92343E102 | Stock | 1,300 | $6,000 | thousands by filing date | put |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 132 | $6,000 | thousands by filing date | put |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 1,392 | $6,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 26,500 | $6,000 | thousands by filing date | call |
| COTERRA ENERGY INC COM | 127097103 | Stock | 100,000 | $6,000 | thousands by filing date | put |
| GARRISON CAP INC | 366554103 | COM | 923 | $6,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,486 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 101 | $6,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 248 | $6,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 288 | $6,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,320 | $6,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 3,000 | $6,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 2,000 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 148 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 571 | $6,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y508 | mc | 156 | $6,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 15,318 | $6,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 2,630 | $6,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 7,000 | $6,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B813 | mc | 158 | $6,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,317 | $6,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,000 | $5,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 1,200 | $5,000 | thousands by filing date | put |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 21,000 | $5,000 | thousands by filing date | call |
| RANGE RES CORP COM | 75281A109 | Stock | 6,300 | $5,000 | thousands by filing date | put |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 250 | $5,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 7,500 | $5,000 | thousands by filing date | put |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 417 | $5,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 1,600 | $5,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 213 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 202 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 115 | $5,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 7,630 | $5,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 190 | $5,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 13,900 | $5,000 | thousands by filing date | call |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 6,300 | $5,000 | thousands by filing date | put |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 300 | $5,000 | thousands by filing date | put |
| ALCENTRA CAP CORP | 01374T102 | COM | 563 | $5,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 3,000 | $5,000 | thousands by filing date | call |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 388 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 51 | $5,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 1,561 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 191 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 200 | $5,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 114 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 225 | $5,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 737 | $5,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 300 | $5,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 1,125 | $5,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 2,485 | $5,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 20,000 | $5,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 128,700 | $5,000 | thousands by filing date | call |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 300 | $5,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 2,750 | $5,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 18,871 | $5,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 207 | $5,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 7,794 | $5,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 1,000 | $5,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 734 | $5,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 534 | $5,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 3,925 | $5,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 266 | $5,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 874 | $5,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 7,000 | $5,000 | thousands by filing date | |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 146,707 | $5,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CORP SHS CL A | G3165V109 | COM | 507 | $5,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 2,900 | $4,000 | thousands by filing date | put |
| CLOROX CO DEL | 189054109 | COM | 120 | $4,000 | thousands by filing date | put |
| ALLSTATE CORP COM | 020002101 | Stock | 37,500 | $4,000 | thousands by filing date | put |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 9,800 | $4,000 | thousands by filing date | put |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 221 | $4,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 610 | $4,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 15,700 | $4,000 | thousands by filing date | put |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,436 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 232 | $4,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 10,000 | $4,000 | thousands by filing date | call |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 14,407 | $4,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 471 | $4,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $4,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,001 | $4,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 791 | $4,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 1,000 | $4,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 200 | $4,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 601 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 194 | $4,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 300 | $4,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 4,000 | $4,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 392 | $4,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 9,335 | $4,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 2,000 | $4,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 913,500 | $4,000 | thousands by filing date | call |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 2,000 | $4,000 | thousands by filing date | principal |
| ISHARES TR | 46429B135 | INT PFD STK FD | 242 | $4,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 1,001 | $4,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,900 | $4,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 1,200 | $4,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 2,000 | $4,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 1,284 | $4,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 150 | $4,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 5,000 | $4,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 6,000 | $4,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 144 | $4,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 18,750 | $4,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 56 | $3,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 500 | $3,000 | thousands by filing date | put |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 2,800 | $3,000 | thousands by filing date | put |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 4,400 | $3,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 26,100 | $3,000 | thousands by filing date | call |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 300 | $3,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 10,000 | $3,000 | thousands by filing date | put |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 1,000 | $3,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 1,600 | $3,000 | thousands by filing date | put |
| FORTIVE CORP COM | 34959J108 | Stock | 36,700 | $3,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 32,200 | $3,000 | thousands by filing date | call |
| BLINK CHARGING CO | 09354A100 | COM | 1,000 | $3,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 68 | $3,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 800 | $3,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 1,556 | $3,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 650 | $3,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 4 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R696 | CMN | 100 | $3,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 698 | $3,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 260 | $3,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 255 | $3,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 132 | $3,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 3,439 | $3,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 7,430 | $3,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 6,164 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 60 | $3,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 3,000 | $3,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 248 | $3,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 713 | $3,000 | thousands by filing date | |
| KRANESHARES TR | 500767710 | SML CAP QTY DIVD | 124 | $3,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 352 | $3,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 3,125 | $3,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 1,794 | $3,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 750 | $3,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 223 | $3,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 10,000 | $3,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 3,132 | $3,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 500 | $3,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 4,000 | $3,000 | thousands by filing date | principal |
| AbbVie,Inc. | 00287Y109 | COM | 23,400 | $2,000 | thousands by filing date | put |
| Amgen Inc. | 031162100 | COM | 10 | $2,000 | thousands by filing date | put |
| Caterpillar Inc. | 149123101 | COM | 1,800 | $2,000 | thousands by filing date | put |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 500 | $2,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 7,000 | $2,000 | thousands by filing date | call |
| S&P Global,Inc. | 78409V104 | COM | 1,000 | $2,000 | thousands by filing date | put |
| Union Pacific Corporation | 907818108 | COM | 400 | $2,000 | thousands by filing date | put |
| BORGWARNER INC COM | 099724106 | Stock | 2,500 | $2,000 | thousands by filing date | put |
| IRON MTN INC DEL COM | 46284V101 | REIT | 4,100 | $2,000 | thousands by filing date | put |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 15,500 | $2,000 | thousands by filing date | put |
| SUZANO S A SPON ADS | 86959K105 | ADR | 228 | $2,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 300 | $2,000 | thousands by filing date | put |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 76 | $2,000 | thousands by filing date | put |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 50,000 | $2,000 | thousands by filing date | call |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 23,900 | $2,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 90 | $2,000 | thousands by filing date | |
| CLARIVATE PLC | G21810109 | ORD SHS | 99 | $2,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 4,000 | $2,000 | thousands by filing date | put |
| REKOR SYSTEMS INC | 759419104 | COM | 1,000 | $2,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 217 | $2,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 800 | $2,000 | thousands by filing date | put |
| FUELCELL ENERGY INC | 35952H601 | COM | 5,028 | $2,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 1,500 | $2,000 | thousands by filing date | call |
| PARSLEY ENERGY INC | 701877102 | CL A | 130,100 | $2,000 | thousands by filing date | call |
| INNOVIVA INC | 45781M101 | COM | 30,400 | $2,000 | thousands by filing date | call |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 500 | $2,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 559 | $2,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 70 | $2,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 364 | $2,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 150 | $2,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 75 | $2,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 53 | $2,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 201 | $2,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 463 | $2,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 425 | $2,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 224 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 50 | $2,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 162 | $2,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 16,300 | $2,000 | thousands by filing date | call |
| VIPER | 92763M105 | COMMON STOCK | 76,200 | $2,000 | thousands by filing date | call |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 300 | $2,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,666 | $2,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 84 | $2,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 6,350 | $2,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 31 | $2,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 232 | $2,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 2,000 | $2,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 1,587 | $2,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 245 | $2,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 15,900 | $2,000 | thousands by filing date | put |
| EXFO INC | 302046107 | SUB VTG SHS | 407 | $2,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,000 | $2,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 549 | $2,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 1,800 | $2,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 1,000 | $2,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 82 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 200 | $2,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 352 | $2,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 212 | $2,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $2,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 100,000 | $2,000 | thousands by filing date | call |
| COLUMBIA ETF TR I | 19761L201 | SUSTNBLE INTL | 79 | $2,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 4,900 | $2,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 1,000 | $2,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 318 | $2,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 1,563 | $2,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q706 | COM PAR | 1,000 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 50 | $2,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 150 | $2,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 500 | $2,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 15,384 | $2,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 531 | $2,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 11,090 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 75 | $2,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 1,000 | $2,000 | thousands by filing date | principal |
| ENVISION SOLAR INTL INC | 29413Q201 | COM | 400 | $2,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 1,267 | $2,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 104 | $1,000 | thousands by filing date | put |
| Coca-Cola Company | 191216100 | COM | 25 | $1,000 | thousands by filing date | put |
| Home Depot, Inc | 437076102 | COM | 7 | $1,000 | thousands by filing date | put |
| NextEra Energy,Inc. | 65339F101 | COM | 16 | $1,000 | thousands by filing date | put |
| Salesforce.com, Inc | 79466L302 | COM | 200 | $1,000 | thousands by filing date | put |
| ServiceNow,Inc. | 81762P102 | COM | 200 | $1,000 | thousands by filing date | put |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 400 | $1,000 | thousands by filing date | put |
| Vanguard Real Estate | 922908553 | SHS | 34 | $1,000 | thousands by filing date | put |
| EXELIXIS INC COM | 30161Q104 | Stock | 25,000 | $1,000 | thousands by filing date | call |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 400 | $1,000 | thousands by filing date | put |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 800 | $1,000 | thousands by filing date | put |
| ENBRIDGE INC COM | 29250N105 | Stock | 1,700 | $1,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 1,464 | $1,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 3,700 | $1,000 | thousands by filing date | put |
| CNX RES CORP COM | 12653C108 | Stock | 2,500 | $1,000 | thousands by filing date | put |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 17 | $1,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 500 | $1,000 | thousands by filing date | put |
| AUTODESK INC COM | 052769106 | Stock | 100 | $1,000 | thousands by filing date | put |
| AGNC INVT CORP COM | 00123Q104 | REIT | 1,200 | $1,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 3,400 | $1,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 10,000 | $1,000 | thousands by filing date | put |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 100 | $1,000 | thousands by filing date | call |
| UR-ENERGY INC | 91688R108 | COM | 1,000 | $1,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 300 | $1,000 | thousands by filing date | put |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 2,000 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 52 | $1,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 200 | $1,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 46 | $1,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 359 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 32 | $1,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 9,900 | $1,000 | thousands by filing date | call |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 1,000 | $1,000 | thousands by filing date | put |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 31 | $1,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 375 | $1,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 1,510 | $1,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 301 | $1,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 321 | $1,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 229 | $1,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 738 | $1,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 348 | $1,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 35 | $1,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 100 | $1,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 202 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 31 | $1,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 500 | $1,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 60 | $1,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 1,869 | $1,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 1,501 | $1,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 1,045 | $1,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 25,000 | $1,000 | thousands by filing date | put |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 800 | $1,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 500 | $1,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 500 | $1,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 400 | $1,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 1,563 | $1,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 112 | $1,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 1,500 | $1,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,277 | $1,000 | thousands by filing date | |
| SUNWORKS INC | 86803X204 | COMMON STOCK | 248 | $1,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 143 | $1,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 32 | $1,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 1,000 | $1,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 837 | $1,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 800 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 1,425 | $1,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 1,300 | $1,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 453 | $1,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 36 | $1,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 267 | $1,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 600 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 40 | $1,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 187 | $1,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 750 | $1,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 800 | $1,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 28 | $1,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 579 | $1,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 1,000 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 22 | $1,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 300 | $1,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 500 | $1,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 1,000 | $1,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 437 | $1,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 432 | $1,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 300 | $1,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 1,480 | $1,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 500 | $1,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 102 | $1,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 66 | $1,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 321 | $1,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS I | 88165N204 | COM NEW | 100 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 43 | $1,000 | thousands by filing date | |
| VALERITAS HOLDINGS INC | 91914N301 | COM | 1,000 | $1,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares ESG Aware US Aggregate Bond ETF | 46435U549 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares Future AI & Tech ETF | 46435U556 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares Trust iShares USD Green Bond ETF | 46435U440 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Southern Company | 842587107 | COM | 900 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| TJX Companies Inc | 872540109 | COM | 30,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard ESG U.S. Stock ETF | 921910733 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Vanguard U.S. Momentum Factor ETF | 921935508 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Visa Inc | 92826C839 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEA LTD | 81141R100 | SPONSORD ADS | 296,400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 1,200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PPL CORP COM | 69351T106 | Stock | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| HALLIBURTON CO COM | 406216101 | Stock | 15,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| DENISON MINES CORP | 248356107 | COM | 201 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 403 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY MERRIMACK STR TR | 316188408 | LOW DURTIN ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCH TRADED FD III | 33739P301 | MUNI HI INCM ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189H102 | DURABLE HGH DIV | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 225 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XEROX HOLDINGS CORP | 98421M106 | COM NEW | 29,400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| FIDELITY HIGH YIELD FACTOR ETF | 316092618 | HIGH YILD ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSALTA CORP | 89346D107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 140 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPITALA FIN CORP | 14054R106 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WW INTL INC | 98262P101 | COM | 305,706 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES U S ETF TR | 46431W648 | U.S. TECH INDEPD | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| TECNOGLASS INC | G87264100 | ORD SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 151 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 253 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KOPIN CORP | 500600101 | COMMON STOCK | 872 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN LTS FD TR IV | 66538H658 | INSPIRE GBL HOPE | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25460E307 | AUSPCE CMD STG | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| INVESCO EXCH TRADED FD TR II | 46138J676 | BULLETSHS 2026 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARK RESTAURANTS CORP | 040712101 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Hartford Municipal Opportnits ETF | 41653L503 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092717 | INT VL FCT ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANKLIN FTSE CHINA ETF | 35473P819 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25460E869 | DAILY 500 1X ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JOHN HANCOCK EXCHANGE TRADED | 47804J859 | MULTI INTL ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78468R655 | SP KENSHO CLEAN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCH TRADED FD TR II | 46138G888 | SHORT TERM ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VAXART INC NEW | 92243A200 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |