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 |
|---|---|---|---|---|---|---|
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 282,672 | $1,614,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 101,205 | $1,614,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 190,668 | $1,613,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 65,408 | $1,612,000 | thousands by filing date | |
| Luckin Coffee Inc | 54951L109 | Equity | 84,783 | $1,611,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 464,181 | $1,606,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 41,082 | $1,599,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 813,900 | $1,597,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 117,100 | $1,596,000 | thousands by filing date | put |
| SIMULATIONS PLUS INC | 829214105 | COM | 45,981 | $1,595,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 140,563 | $1,595,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 59,785 | $1,591,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 105,201 | $1,590,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 247,100 | $1,589,000 | thousands by filing date | put |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 113,557 | $1,589,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 44,915 | $1,588,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 33,165 | $1,588,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 381,714 | $1,584,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 111,149 | $1,582,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 92,166 | $1,576,000 | thousands by filing date | |
| PENNYMAC FINL SVCS INC NEW | 70932M107 | COM | 51,822 | $1,575,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 246,291 | $1,574,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V753 | FOOD & BEVERAGE | 44,697 | $1,572,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 60,190 | $1,567,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 99,789 | $1,567,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 446,121 | $1,561,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 29,144 | $1,556,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 469,959 | $1,555,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 115,899 | $1,555,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 99,760 | $1,554,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 84,686 | $1,554,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 79,591 | $1,553,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 33,970 | $1,553,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 142,347 | $1,549,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 50,405 | $1,544,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 100,005 | $1,544,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 28,113 | $1,544,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 162,480 | $1,542,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 274,747 | $1,541,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 122,937 | $1,536,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 36,821 | $1,535,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 108,700 | $1,534,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 106,731 | $1,533,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 70,997 | $1,533,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 160,201 | $1,531,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 115,054 | $1,528,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 35,819 | $1,528,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 116,588 | $1,528,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 152,658 | $1,523,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 200,784 | $1,522,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 152,378 | $1,514,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 338,343 | $1,512,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 71,618 | $1,512,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 138,556 | $1,511,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 28,881 | $1,510,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 1,589,000 | $1,507,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 100,190 | $1,503,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 53,628 | $1,499,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 594,700 | $1,498,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 692,905 | $1,496,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 50,619 | $1,494,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 55,090 | $1,493,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 161,275 | $1,492,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 11,699 | $1,491,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 70,426 | $1,490,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 16,217 | $1,487,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AB7 | NOTE 1.875% 8/1 | 1,502,000 | $1,485,000 | thousands by filing date | principal |
| BJS RESTAURANTS INC | 09180C106 | COM | 38,200 | $1,484,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 140,466 | $1,483,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 35,748 | $1,483,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 65,998 | $1,481,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 125,849 | $1,480,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 87,516 | $1,480,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 42,924 | $1,477,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 60,545 | $1,476,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 36,867 | $1,476,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 94,632 | $1,473,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 45,710 | $1,471,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 1,197,000 | $1,469,000 | thousands by filing date | principal |
| DILLARDS INC CL A | 254067101 | Stock | 22,152 | $1,465,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 105,848 | $1,464,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 213,612 | $1,463,000 | thousands by filing date | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 92,584 | $1,462,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 36,641 | $1,459,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 69,926 | $1,454,000 | thousands by filing date | |
| iShares iBonds Dec. 2026 Municipal Bond ETF | 46435U259 | ETF | 56,077 | $1,454,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 73,312 | $1,453,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 36,673 | $1,448,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | 98236JAB4 | NOTE 2.250%11/1 | 1,241,000 | $1,446,000 | thousands by filing date | principal |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 107,769 | $1,444,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 91,139 | $1,443,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 1,433,000 | $1,441,000 | thousands by filing date | principal |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 896,000 | $1,435,000 | thousands by filing date | principal |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 5,164,300 | $1,432,000 | thousands by filing date | put |
| GAMESTOP CORP | 36467W109 | CL A | 259,009 | $1,429,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 50,861 | $1,426,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 88,796 | $1,425,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 69,089 | $1,423,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 73,524 | $1,416,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 65,163 | $1,416,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 44,987 | $1,412,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 41,318 | $1,410,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 25,708 | $1,409,000 | thousands by filing date | |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 845,000 | $1,409,000 | thousands by filing date | principal |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 162,129 | $1,404,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 13,715 | $1,403,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 63,880 | $1,402,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 26,697 | $1,401,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 25,864 | $1,397,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 33,133 | $1,395,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 63,894 | $1,393,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 179,497 | $1,393,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 265,008 | $1,390,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 93,809 | $1,386,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 112,551 | $1,382,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 99,645 | $1,380,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 42,248 | $1,379,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 68,689 | $1,375,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 425,025 | $1,373,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 55,066 | $1,373,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 58,091 | $1,372,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 159,455 | $1,371,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 421,700 | $1,366,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 16,672 | $1,362,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V159 | CMN | 29,280 | $1,360,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 39,649 | $1,358,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 1,375,000 | $1,352,000 | thousands by filing date | principal |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 85,823 | $1,351,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 100,000 | $1,349,000 | thousands by filing date | call |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 48,179 | $1,344,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 23,199 | $1,340,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 175,761 | $1,338,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 83,102 | $1,336,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 93,994 | $1,334,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 11,264 | $1,326,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 120,849 | $1,325,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 43,356 | $1,324,000 | thousands by filing date | |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 88,109 | $1,322,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 349,476 | $1,321,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 27,220 | $1,316,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 40,592 | $1,312,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 26,861 | $1,305,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 1,003,000 | $1,304,000 | thousands by filing date | principal |
| HCI GROUP INC | 40416E103 | COM | 30,982 | $1,302,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 43,609 | $1,302,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 43,070 | $1,302,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 17,134 | $1,297,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 75,346 | $1,297,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 1,355,000 | $1,297,000 | thousands by filing date | principal |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 127,100 | $1,296,000 | thousands by filing date | call |
| EDITAS MEDICINE INC | 28106W103 | COM | 57,021 | $1,296,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 250,611 | $1,293,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 83,422 | $1,291,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 21,694 | $1,290,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 27,931 | $1,290,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 390,600 | $1,281,000 | thousands by filing date | put |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 36,550 | $1,281,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 73,966 | $1,279,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 37,711 | $1,275,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 24,195 | $1,274,000 | thousands by filing date | |
| ARVINAS INC | 04335A105 | COM | 59,087 | $1,273,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 150,826 | $1,268,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 209,209 | $1,268,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 34,999 | $1,264,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 128,011 | $1,262,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 42,383 | $1,261,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 156,754 | $1,258,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 41,881 | $1,257,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 56,250 | $1,257,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 58,378 | $1,249,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 170,044 | $1,249,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 88,192 | $1,245,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 84,092 | $1,244,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 23,255 | $1,244,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 43,227 | $1,244,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 23,231 | $1,243,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 91,252 | $1,242,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 83,341 | $1,240,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 82,205 | $1,240,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 17,190 | $1,238,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 52,616 | $1,236,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 86,023 | $1,232,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 47,215 | $1,232,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 35,153 | $1,231,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 42,646 | $1,225,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 54,169 | $1,224,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 45,266 | $1,224,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 29,792 | $1,223,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 165,203 | $1,222,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 116,124 | $1,219,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 244,176 | $1,219,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 208,173 | $1,216,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 46,798 | $1,211,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 20,255 | $1,210,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 21,487 | $1,210,000 | thousands by filing date | |
| OIL STS INTL INC | 678026AH8 | NOTE 1.500% 2/1 | 1,420,000 | $1,210,000 | thousands by filing date | principal |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 66,105 | $1,208,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 713,657 | $1,204,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 30,613 | $1,203,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 29,360 | $1,201,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 45,174 | $1,200,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 36,952 | $1,199,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 89,231 | $1,198,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 484,215 | $1,191,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 64,314 | $1,190,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 36,772 | $1,189,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 63,445 | $1,189,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 104,385 | $1,188,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 40,303 | $1,188,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 42,767 | $1,187,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 124,876 | $1,186,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 92,184 | $1,185,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 13,528 | $1,185,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 46,420 | $1,181,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 24,420 | $1,180,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 61,701 | $1,179,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 87,719 | $1,179,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 76,387 | $1,176,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 48,585 | $1,173,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 33,596 | $1,168,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 187,109 | $1,165,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 41,404 | $1,164,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 39,747 | $1,161,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 36,320 | $1,160,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 56,283 | $1,158,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 14,730 | $1,158,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 54,110 | $1,156,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 93,146 | $1,156,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 182,986 | $1,156,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 85,922 | $1,154,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 112,700 | $1,153,000 | thousands by filing date | put |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 189,569 | $1,152,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 18,882 | $1,152,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 96,302 | $1,148,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 104,515 | $1,146,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 188,625 | $1,145,000 | thousands by filing date | |
| AXONICS INC | 05465P101 | COM | 42,464 | $1,144,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 108,761 | $1,143,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 63,240 | $1,142,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 42,221 | $1,139,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 357,031 | $1,139,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 297,445 | $1,137,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 124,930 | $1,137,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 40,563 | $1,134,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 58,715 | $1,133,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 410,300 | $1,131,000 | thousands by filing date | put |
| Flushing Financial Corp | 343873105 | Common Stock | 55,968 | $1,131,000 | thousands by filing date | |
| ORIGIN BANCORP INC | 68621T102 | COMMON STOCK | 33,464 | $1,129,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 119,900 | $1,128,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 540,400 | $1,127,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 22,334 | $1,125,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 118,537 | $1,122,000 | thousands by filing date | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 64,575 | $1,119,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 49,127 | $1,118,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 132,394 | $1,117,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 240,881 | $1,116,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 84,812 | $1,113,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 26,193 | $1,113,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 49,156 | $1,113,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 35,000 | $1,108,000 | thousands by filing date | call |
| WINMARK CORP | 974250102 | COM | 6,283 | $1,108,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 34,510 | $1,108,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 94,380 | $1,106,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 40,278 | $1,105,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 64,411 | $1,104,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 229,823 | $1,104,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 59,261 | $1,103,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 60,939 | $1,100,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 26,167 | $1,099,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 64,692 | $1,099,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 41,455 | $1,099,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 45,478 | $1,095,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 44,437 | $1,093,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 126,269 | $1,092,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 53,907 | $1,090,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 75,254 | $1,090,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 582,224 | $1,088,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 111,313 | $1,088,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 11,734 | $1,087,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 18,560 | $1,084,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 72,602 | $1,082,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 31,846 | $1,075,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 104,261 | $1,074,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 131,249 | $1,070,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 18,288 | $1,068,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 162,096 | $1,067,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 60,449 | $1,067,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 29,541 | $1,064,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 200,000 | $1,062,000 | thousands by filing date | put |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 47,023 | $1,062,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 34,080 | $1,059,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 42,839 | $1,059,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 62,702 | $1,057,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 31,792 | $1,057,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 81,511 | $1,054,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 61,622 | $1,053,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 46,377 | $1,053,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 351,900 | $1,053,000 | thousands by filing date | put |
| TREDEGAR CORP | 894650100 | COM | 53,924 | $1,051,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 16,878 | $1,050,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 50,669 | $1,049,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 65,853 | $1,049,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 329,288 | $1,047,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 101,687 | $1,046,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 94,321 | $1,046,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 25,701 | $1,045,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 55,632 | $1,045,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 128,628 | $1,045,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 334,709 | $1,045,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 156,403 | $1,045,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 217,811 | $1,044,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 31,303 | $1,042,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 812,505 | $1,040,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 21,500 | $1,037,000 | thousands by filing date | put |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 17,804 | $1,036,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 62,103 | $1,033,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 72,381 | $1,033,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 33,833 | $1,033,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 250,000 | $1,032,000 | thousands by filing date | call |
| PRA Group Inc | 69354N106 | COM | 30,540 | $1,032,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 684,000 | $1,029,000 | thousands by filing date | principal |
| OCCIDENTAL PETE CORP | 674599105 | COM | 1,198,400 | $1,028,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 19,490 | $1,028,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 95,117 | $1,026,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 206,914 | $1,024,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 17,902 | $1,020,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 93,466 | $1,018,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 136,406 | $1,017,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 575,289 | $1,012,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 34,184 | $1,009,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 145,940 | $1,008,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 86,754 | $1,003,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 12,893 | $1,001,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 41,248 | $999,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 277,092 | $997,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 9,604 | $995,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 48,226 | $995,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 52,919 | $994,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 143,174 | $994,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 102,809 | $993,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 44,533 | $993,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 62,004 | $993,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 35,211 | $992,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 26,859 | $990,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 22,682 | $986,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 73,658 | $986,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 125,529 | $986,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 160,160 | $985,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 22,908 | $983,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 102,988 | $983,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 171,447 | $981,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 25,805 | $980,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 39,447 | $977,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 82,338 | $974,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 83,929 | $974,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 18,513 | $972,000 | thousands by filing date | |
| COVETRUS INC | 22304C100 | COM | 81,736 | $972,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 43,659 | $970,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 34,596 | $970,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 334,815 | $970,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 51,359 | $970,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 199,294 | $969,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,126,000 | $968,000 | thousands by filing date | principal |
| ENTEGRIS INC COM | 29362U104 | Stock | 216,600 | $967,000 | thousands by filing date | call |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 60,639 | $967,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 59,080 | $966,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 32,366 | $965,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 117,653 | $965,000 | thousands by filing date | |
| INVESCO S&P 500 EQUAL WEIGHT ENERGY ETF | 46137V365 | ETF | 21,733 | $964,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 43,389 | $963,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 54,700 | $963,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 151,900 | $960,000 | thousands by filing date | put |
| DAILY JOURNAL CORP | 233912104 | COM | 3,872 | $959,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 32,412 | $959,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 146,391 | $958,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 54,127 | $954,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 15,982 | $953,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 17,541 | $951,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 128,372 | $948,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 34,011 | $948,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 314,792 | $944,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 1,075,000 | $944,000 | thousands by filing date | principal |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 61,600 | $943,000 | thousands by filing date | call |
| CNX RES CORP COM | 12653C108 | Stock | 129,830 | $942,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 16,476 | $942,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 516,300 | $941,000 | thousands by filing date | put |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 94,622 | $940,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 165,950 | $938,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 129,256 | $938,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 1,186,000 | $937,000 | thousands by filing date | put |
| ONESPAN INC | 68287N100 | COM | 64,562 | $936,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 69,476 | $935,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 54,413 | $935,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 344,474 | $934,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 1,014,000 | $934,000 | thousands by filing date | principal |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 178,800 | $933,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 54,416 | $932,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 175,687 | $932,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 26,019 | $932,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 28,811 | $931,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 1,000,000 | $931,000 | thousands by filing date | principal |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 42,339 | $929,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 400,000 | $928,000 | thousands by filing date | put |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 36,656 | $928,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 160,202 | $925,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 191,815 | $923,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 16,913 | $923,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 375,150 | $923,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 22,936 | $919,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 146,641 | $919,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 122,377 | $918,000 | thousands by filing date | |
| MEDALLIA INC | 584021109 | COM | 33,444 | $918,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 32,447 | $918,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 53,835 | $916,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 442,000 | $916,000 | thousands by filing date | principal |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 63,715 | $915,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 79,286 | $913,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 98,897 | $913,000 | thousands by filing date | |
| CARBON BLACK INC | 14081R103 | COM | 35,113 | $913,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 73,640 | $911,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 27,384 | $911,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 12,846 | $911,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 30,165 | $910,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 489,199 | $910,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 147,160 | $907,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 42,966 | $904,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 22,148 | $903,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 44,406 | $900,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 55,022 | $898,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 274,376 | $892,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 31,515 | $890,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 59,112 | $889,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 35,310 | $888,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 15,151 | $888,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 91,859 | $887,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 37,420 | $885,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 15,387 | $885,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 48,810 | $884,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 3,125,000 | $881,000 | thousands by filing date | put |
| LCNB CORP | 50181P100 | COM | 49,616 | $881,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 40,077 | $880,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 1,181,500 | $879,000 | thousands by filing date | put |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 35,512 | $879,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 141,195 | $874,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 23,378 | $873,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 15,914 | $872,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 80,796 | $871,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 367,327 | $871,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 45,875 | $870,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 82,418 | $869,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 32,741 | $868,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 34,249 | $866,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 57,988 | $866,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 66,189 | $864,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 64,797 | $860,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 36,711 | $859,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 14,712 | $858,000 | thousands by filing date | |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 38,521 | $856,000 | thousands by filing date | |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 6,844 | $856,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 308,604 | $855,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 21,916 | $855,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 473,700 | $854,000 | thousands by filing date | put |
| BANKFINANCIAL CORP | 06643P104 | COM | 71,817 | $854,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 905,000 | $853,000 | thousands by filing date | principal |
| EXELON CORP COM | 30161N101 | Stock | 400,000 | $852,000 | thousands by filing date | call |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 84,286 | $849,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 87,946 | $848,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 34,167 | $847,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 63,797 | $846,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 21,650 | $844,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 90,327 | $844,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 191,734 | $844,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 26,041 | $843,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 208,876 | $842,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 36,400 | $841,000 | thousands by filing date | call |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 74,187 | $841,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 176,853 | $841,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B102 | GOLD MINERS ETF | 36,758 | $841,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 72,969 | $840,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 300,000 | $839,000 | thousands by filing date | put |
| OCEANEERING INTL INC | 675232102 | COM | 61,731 | $837,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 84,294 | $837,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 45,011 | $836,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 28,679 | $834,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MBC1 | FRNT 4/1 | 802,000 | $834,000 | thousands by filing date | principal |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 45,905 | $833,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 18,413 | $833,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 132,467 | $831,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 47,897 | $831,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 30,860 | $828,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 245,761 | $826,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 35,785 | $823,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 70,917 | $823,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 278,600 | $822,000 | thousands by filing date | put |
| LYDALL INC | 550819106 | COMMON STOCK | 33,033 | $822,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 47,928 | $820,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 32,195 | $819,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 39,487 | $817,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 18,307 | $817,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 17,927 | $816,000 | 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 |