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 |
|---|---|---|---|---|---|---|
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 909,142 | $2,955,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 94,421 | $2,942,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 72,242 | $2,939,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 228,626 | $2,924,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 149,435 | $2,919,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 21,590 | $2,919,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 2,203,000 | $2,919,000 | thousands by filing date | principal |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 44,479 | $2,918,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 113,049 | $2,915,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 31,341 | $2,914,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 87,426 | $2,912,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 20,874 | $2,910,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 212,186 | $2,908,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 255,400 | $2,905,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 114,898 | $2,904,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 430,939 | $2,904,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 58,877 | $2,904,000 | thousands by filing date | |
| ABRDN PALLADIUM ETF TRUST | 003262102 | PHYSICAL PALLADM | 18,236 | $2,903,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 61,424 | $2,901,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 46,990 | $2,899,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 88,378 | $2,899,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 1,198,125 | $2,899,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 185,234 | $2,895,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 148,101 | $2,890,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 218,399 | $2,890,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 90,635 | $2,879,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 289,987 | $2,859,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 169,489 | $2,858,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 273,391 | $2,857,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 60,125 | $2,853,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 50,833 | $2,842,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 2,132,000 | $2,842,000 | thousands by filing date | principal |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 78,724 | $2,838,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 2,922,000 | $2,838,000 | thousands by filing date | principal |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 85,855 | $2,836,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 60,959 | $2,835,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 52,848 | $2,830,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 104,204 | $2,821,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 199,400 | $2,819,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 217,306 | $2,814,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 139,986 | $2,812,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 119,301 | $2,812,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 297,920 | $2,812,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 295,253 | $2,807,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 3,421,000 | $2,798,000 | thousands by filing date | principal |
| GANNETT SPINCO INC | 36473H104 | COM | 259,899 | $2,790,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U101 | COM | 175,205 | $2,789,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 15,917 | $2,787,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 177,440 | $2,782,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 371,976 | $2,779,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 158,588 | $2,777,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 72,781 | $2,776,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 2,840,000 | $2,776,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 35,513 | $2,773,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 251,538 | $2,767,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 106,804 | $2,754,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 60,522 | $2,743,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 141,224 | $2,742,000 | thousands by filing date | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 176,393 | $2,740,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 76,282 | $2,739,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 34,497 | $2,734,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 295,377 | $2,733,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 63,700 | $2,719,000 | thousands by filing date | call |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 162,199 | $2,719,000 | thousands by filing date | |
| FOCUS FINANCIAL PARTNERS INC. | 34417P100 | COM CL A | 113,972 | $2,713,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 111,531 | $2,712,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 158,813 | $2,709,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 39,561 | $2,706,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 67,022 | $2,706,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 2,748,000 | $2,705,000 | thousands by filing date | principal |
| PJT PARTNERS INC | 69343T107 | COM CL A | 66,408 | $2,703,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 97,409 | $2,703,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 628,500 | $2,701,000 | thousands by filing date | call |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 79,196 | $2,701,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 323,341 | $2,687,000 | thousands by filing date | |
| BEYOND MEAT INC | 08862E109 | COM | 18,072 | $2,685,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 73,458 | $2,684,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 75,314 | $2,674,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 921,905 | $2,674,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 163,974 | $2,674,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 77,099 | $2,669,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 192,655 | $2,667,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 48,721 | $2,666,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 184,968 | $2,662,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 170,549 | $2,660,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 42,830 | $2,659,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 369,119 | $2,658,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 77,891 | $2,657,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 164,311 | $2,654,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 62,306 | $2,654,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 427,400 | $2,651,000 | thousands by filing date | call |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 117,457 | $2,651,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 481,628 | $2,649,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 230,996 | $2,649,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 144,730 | $2,646,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 247,041 | $2,644,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 136,185 | $2,634,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 558,678 | $2,632,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 175,708 | $2,624,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 186,056 | $2,623,000 | thousands by filing date | |
| ORTHOFIX MED INC | 68752M108 | COM | 49,431 | $2,621,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 2,585,000 | $2,621,000 | thousands by filing date | principal |
| NIC INC | 62914B100 | COM | 126,667 | $2,616,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 363,585 | $2,615,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRA | 459506309 | UNIT 09/15/2021 | 55,479 | $2,610,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 449,540 | $2,607,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 570,185 | $2,605,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 71,702 | $2,603,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 2,203,000 | $2,602,000 | thousands by filing date | principal |
| APPIAN CORP | 03782L101 | CL A | 54,695 | $2,599,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 181,671 | $2,594,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 154,800 | $2,588,000 | thousands by filing date | call |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 66,997 | $2,585,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 86,494 | $2,582,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 126,211 | $2,581,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 1,636,003 | $2,578,000 | thousands by filing date | put |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 92,644 | $2,578,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 196,392 | $2,575,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 100,043 | $2,575,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 75,512 | $2,573,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 170,548 | $2,567,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 82,780 | $2,567,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 215,781 | $2,563,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 901,769 | $2,561,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 34,426 | $2,561,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 79,248 | $2,557,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 265,470 | $2,556,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 219,239 | $2,556,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 185,175 | $2,546,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 296,351 | $2,544,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 218,623 | $2,536,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 66,530 | $2,527,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 178,070 | $2,520,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 377,150 | $2,520,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 20,954 | $2,518,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 10,589 | $2,517,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 24,524 | $2,516,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 135,295 | $2,506,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 54,627 | $2,498,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 43,069 | $2,498,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 90,583 | $2,498,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 600,000 | $2,494,000 | thousands by filing date | call |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 77,655 | $2,489,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 116,476 | $2,484,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 40,477 | $2,483,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 2,529,000 | $2,483,000 | thousands by filing date | principal |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 413,486 | $2,481,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 2,750,000 | $2,481,000 | thousands by filing date | principal |
| LAKELAND BANCORP INC | 511637100 | COM | 160,386 | $2,475,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 82,153 | $2,464,000 | thousands by filing date | |
| NUVEEN MUNICIPAL CREDIT OPP FU | 670663103 | COM | 155,700 | $2,460,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 114,282 | $2,459,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 951,439 | $2,455,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 66,785 | $2,454,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 154,441 | $2,454,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 393,071 | $2,452,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 249,993 | $2,447,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 87,376 | $2,443,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 523,700 | $2,442,000 | thousands by filing date | call |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 39,957 | $2,438,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 104,057 | $2,435,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 96,161 | $2,434,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 2,476,000 | $2,434,000 | thousands by filing date | principal |
| OPUS BK IRVINE CALIF | 684000102 | COM | 111,739 | $2,433,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 397,242 | $2,431,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 411,131 | $2,431,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 74,505 | $2,430,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 232,963 | $2,423,000 | thousands by filing date | |
| RPT REALTY | 74971D101 | SH BEN INT | 178,604 | $2,421,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 125,974 | $2,418,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 33,659 | $2,418,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 17,224 | $2,413,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 634,682 | $2,411,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 24,672 | $2,408,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 788,685 | $2,406,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 223,532 | $2,403,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 79,983 | $2,399,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 208,369 | $2,398,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 35,982 | $2,395,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 29,477 | $2,392,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 67,084 | $2,388,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 142,662 | $2,387,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 182,493 | $2,379,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 808,622 | $2,377,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 447,286 | $2,376,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 194,652 | $2,374,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 61,422 | $2,371,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 1,406,000 | $2,365,000 | thousands by filing date | principal |
| PROTECTIVE INS CORP | 74368L104 | CL A | 143,074 | $2,361,000 | thousands by filing date | |
| TERRAFORM PWR INC | 88104R209 | COM CL A | 129,460 | $2,359,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 2,661,000 | $2,354,000 | thousands by filing date | principal |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 584,067 | $2,347,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 107,172 | $2,346,000 | thousands by filing date | |
| MR COOPER GROUP INC | 62482R107 | COM | 220,937 | $2,346,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 83,413 | $2,343,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 98,977 | $2,339,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 69,608 | $2,335,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 188,339 | $2,332,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 169,244 | $2,329,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 195,911 | $2,323,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 181,745 | $2,322,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 51,520 | $2,320,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 139,783 | $2,313,000 | thousands by filing date | |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 1,998,000 | $2,313,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 48,176 | $2,308,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 40,218 | $2,307,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 157,389 | $2,304,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 249,364 | $2,304,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 62,261 | $2,304,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 260,736 | $2,302,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 37,671 | $2,300,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 40,120 | $2,299,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 41,844 | $2,298,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 227,234 | $2,293,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 131,561 | $2,292,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 156,893 | $2,290,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 174,800 | $2,290,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 222,696 | $2,288,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 108,815 | $2,286,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 2,291,000 | $2,282,000 | thousands by filing date | principal |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 247,648 | $2,278,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 83,709 | $2,274,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 109,898 | $2,269,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 113,545 | $2,269,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 115,038 | $2,268,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Corporate Bond ETF | 46435U515 | ETF | 81,695 | $2,267,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 172,200 | $2,264,000 | thousands by filing date | put |
| ITRON INC COM | 465741106 | Stock | 30,525 | $2,258,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 252,508 | $2,255,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 280,668 | $2,251,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 15,528 | $2,246,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 46,057 | $2,244,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 116,008 | $2,238,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 145,888 | $2,235,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 58,317 | $2,231,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 1,135,899 | $2,226,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E123 | S&P SMLCP INDL | 33,008 | $2,217,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 65,380 | $2,215,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 134,845 | $2,210,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 127,249 | $2,209,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 66,101 | $2,207,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 1,449 | $2,205,000 | thousands by filing date | |
| STRATEGIC ED INC COM | 86272C103 | Stock | 16,175 | $2,198,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 150,000 | $2,198,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 76,995 | $2,196,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 15,691 | $2,194,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 83,546 | $2,194,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 253,365 | $2,192,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 30,989 | $2,191,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 964,696 | $2,190,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J833 | BULSHS 2024 HY | 86,831 | $2,190,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 162,551 | $2,188,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 384,899 | $2,183,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 50,516 | $2,182,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 38,137 | $2,182,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 14,698 | $2,181,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 67,400 | $2,177,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 136,957 | $2,176,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 2,160,000 | $2,172,000 | thousands by filing date | principal |
| PEOPLES BANCORP INC | 709789101 | COM | 68,135 | $2,168,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K209 | UNIT 99/99/9999 | 45,400 | $2,166,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 21,515 | $2,162,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 158,218 | $2,160,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 117,904 | $2,158,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 21,097 | $2,154,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 696,636 | $2,153,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 2,137,000 | $2,152,000 | thousands by filing date | principal |
| RAVEN INDS INC COM | 754212108 | Stock | 64,288 | $2,151,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 83,945 | $2,150,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 65,680 | $2,149,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 73,358 | $2,148,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 40,716 | $2,146,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 19,622 | $2,146,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 96,642 | $2,143,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 148,612 | $2,136,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 219,538 | $2,136,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 134,554 | $2,134,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 129,180 | $2,134,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 165,943 | $2,134,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 51,629 | $2,133,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 61,534 | $2,132,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 394,376 | $2,129,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 185,742 | $2,123,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 158,010 | $2,117,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 167,328 | $2,113,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 101,939 | $2,111,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 158,942 | $2,111,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 23,252 | $2,110,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 28,885 | $2,107,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 34,977 | $2,107,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 146,019 | $2,104,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 123,559 | $2,103,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 64,681 | $2,102,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 1,555,600 | $2,101,000 | thousands by filing date | put |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 251,245 | $2,098,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 799,287 | $2,094,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J817 | BULSHS 2025 HY | 85,419 | $2,094,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 215,797 | $2,092,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 444,650 | $2,090,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 159,963 | $2,085,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 51,492 | $2,083,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 148,033 | $2,078,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 312,338 | $2,077,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 55,239 | $2,075,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 71,222 | $2,071,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 161,585 | $2,064,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 225,515 | $2,063,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 65,666 | $2,062,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 43,723 | $2,058,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 21,221 | $2,058,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 132,008 | $2,057,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 17,154 | $2,056,000 | thousands by filing date | |
| BNY MELLON ALCENTRA GLOBAL C | 05588N108 | COM | 222,154 | $2,055,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 17,228 | $2,050,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 57,388 | $2,048,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 46,994 | $2,047,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 606,800 | $2,045,000 | thousands by filing date | call |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 141,798 | $2,044,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 192,732 | $2,043,000 | thousands by filing date | |
| HELIOS TECHNOLOGIES INC | 42328H109 | COM | 50,376 | $2,043,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 1,446,141 | $2,040,000 | thousands by filing date | |
| DERMIRA INC | 24983LAB0 | NOTE 3.000% 5/1 | 2,415,000 | $2,038,000 | thousands by filing date | principal |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 74,075 | $2,037,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 165,741 | $2,024,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 50,529 | $2,022,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 114,562 | $2,021,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 220,511 | $2,015,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 116,738 | $2,000,000 | thousands by filing date | |
| DANAHER CORPORATION | 235851300 | 4.75 MND CV PFD | 1,753 | $1,999,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 326,105 | $1,995,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 32,992 | $1,990,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 170,835 | $1,990,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 22,373 | $1,985,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 64,004 | $1,983,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 1,047,000 | $1,982,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 55,679 | $1,982,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 118,568 | $1,981,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 1,127,483 | $1,979,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 67,771 | $1,978,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT HEALTHCARE MOMENTUM ETF | 46137V852 | ETF | 25,274 | $1,977,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E370 | S&P 500 HB ETF | 47,763 | $1,975,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 34,840 | $1,975,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 300,084 | $1,974,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 21,583 | $1,971,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 163,237 | $1,970,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V886 | S&P500 EX-RATE | 27,258 | $1,966,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 2,230,000 | $1,966,000 | thousands by filing date | principal |
| M/I HOMES INC | 55305B101 | COM | 52,124 | $1,964,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 455,586 | $1,963,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 124,489 | $1,959,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 169,847 | $1,956,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 21,039 | $1,954,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 143,695 | $1,949,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 78,175 | $1,949,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 469,295 | $1,944,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 137,303 | $1,944,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 108,673 | $1,943,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 172,788 | $1,942,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 35,268 | $1,942,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E206 | CALIF AMT MUN | 70,817 | $1,937,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 198,098 | $1,937,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 34,056 | $1,926,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 137,390 | $1,920,000 | thousands by filing date | |
| PACER FDS TR | 69374H709 | GLOBL CASH ETF | 64,507 | $1,916,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 60,485 | $1,915,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 585,191 | $1,914,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 1,942,000 | $1,914,000 | thousands by filing date | principal |
| EXTREME NETWORKS INC | 30226D106 | COM | 262,672 | $1,912,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 107,080 | $1,911,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 76,804 | $1,907,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 17,222 | $1,904,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 1,230,300 | $1,902,000 | thousands by filing date | put |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 65,500 | $1,900,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 33,347 | $1,899,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 109,014 | $1,899,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 451,930 | $1,898,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 88,439 | $1,894,000 | thousands by filing date | |
| CHEGG INC | 163092AB5 | NOTE 0.250% 5/1 | 1,474,000 | $1,893,000 | thousands by filing date | principal |
| ADVANSIX INC | 00773T101 | COM | 73,563 | $1,892,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 23,046 | $1,887,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 417,333 | $1,884,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 195,089 | $1,883,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 687,975 | $1,882,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 74,257 | $1,874,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 453,608 | $1,873,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 105,766 | $1,872,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 55,013 | $1,865,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 185,061 | $1,863,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 80,725 | $1,862,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 81,036 | $1,861,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 91,372 | $1,861,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 169,294 | $1,860,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 166,118 | $1,860,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 87,183 | $1,858,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 544,200 | $1,856,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 281,500 | $1,855,000 | thousands by filing date | call |
| YORK WATER CO | 987184108 | COMMON STOCK | 42,483 | $1,855,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 123,026 | $1,848,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 1,831,000 | $1,844,000 | thousands by filing date | principal |
| VIACOM INC | 92553P201 | CL B | 375,000 | $1,840,000 | thousands by filing date | put |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 79,906 | $1,835,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 255,894 | $1,835,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 52,741 | $1,834,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 149,346 | $1,833,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 75,553 | $1,830,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 178,911 | $1,829,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 63,519 | $1,825,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 19,033 | $1,824,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 778,925 | $1,822,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 1,934,000 | $1,820,000 | thousands by filing date | principal |
| ENSCO JERSEY FIN LTD | 29359WAB1 | NOTE 3.000% 1/3 | 2,695,000 | $1,819,000 | thousands by filing date | principal |
| NELNET INC | 64031N108 | CL A | 28,556 | $1,816,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 62,692 | $1,816,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 27,831 | $1,812,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 144,463 | $1,808,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 158,843 | $1,807,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 71,482 | $1,806,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 76,365 | $1,806,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 25,690 | $1,800,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 29,946 | $1,799,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 14,528 | $1,793,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 41,168 | $1,790,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 48,375 | $1,790,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 58,548 | $1,788,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 136,669 | $1,785,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 225,096 | $1,785,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 423,484 | $1,781,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 81,367 | $1,778,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 135,882 | $1,776,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 114,581 | $1,774,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 57,399 | $1,772,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 100,948 | $1,771,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 189,337 | $1,771,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 318,329 | $1,770,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2027 CORPORATE BOND ETF | 46138J783 | ETF | 84,776 | $1,769,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 250,000 | $1,768,000 | thousands by filing date | call |
| DONNELLEY R R & SONS CO | 257867200 | COM | 467,218 | $1,761,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 231,620 | $1,760,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 116,054 | $1,759,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 71,912 | $1,758,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 214,893 | $1,758,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 215,713 | $1,758,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 255,381 | $1,756,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 107,484 | $1,750,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 84,652 | $1,750,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 90,648 | $1,744,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 46,150 | $1,743,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 73,285 | $1,737,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 33,607 | $1,736,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 375,946 | $1,730,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 141,899 | $1,726,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 126,719 | $1,725,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 60,727 | $1,725,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 95,745 | $1,725,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 37,690 | $1,724,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 191,198 | $1,721,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 109,089 | $1,721,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 88,555 | $1,721,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 72,359 | $1,720,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 83,255 | $1,719,000 | thousands by filing date | |
| EZCORP INC | 302301AE6 | NOTE 2.375% 5/0 | 2,144,000 | $1,719,000 | thousands by filing date | principal |
| BANCORP INC DEL | 05969A105 | COM | 173,289 | $1,716,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 296,792 | $1,715,000 | thousands by filing date | |
| NEXTGEN HEALTHCARE INC | 65343C102 | COMMON STOCK | 109,373 | $1,713,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 36,323 | $1,712,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 94,031 | $1,706,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 115,270 | $1,697,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 97,217 | $1,696,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 4,856 | $1,692,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 52,623 | $1,691,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 49,254 | $1,684,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 81,867 | $1,684,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 75,484 | $1,679,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 195,272 | $1,676,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 12,717 | $1,676,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 1,173,000 | $1,670,000 | thousands by filing date | call |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 111,496 | $1,670,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 26,107 | $1,669,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 505,691 | $1,668,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 130,347 | $1,667,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 75,016 | $1,666,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 25,796 | $1,665,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 116,123 | $1,664,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 115,448 | $1,654,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 464,024 | $1,652,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 56,175 | $1,651,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 38,606 | $1,651,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 56,416 | $1,651,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 132,193 | $1,647,000 | thousands by filing date | |
| ACADIAN ASSET MANAGEMENT INC COM | 10948W103 | Stock | 165,932 | $1,644,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 159,266 | $1,643,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 62,100 | $1,641,000 | thousands by filing date | call |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 87,435 | $1,639,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 39,170 | $1,634,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 55,831 | $1,632,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 27,757 | $1,627,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 96,114 | $1,626,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 134,620 | $1,626,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 41,259 | $1,623,000 | thousands by filing date | |
| ANGEL OAK FINL STRATEGIES IN | 03464A100 | COM BEN INT | 80,346 | $1,621,000 | thousands by filing date |
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 |