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 |
|---|---|---|---|---|---|---|
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 14,085 | $815,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 62,918 | $815,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 119,600 | $813,000 | thousands by filing date | call |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 22,899 | $813,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 282,100 | $810,000 | thousands by filing date | call |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 51,384 | $808,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 20,533 | $807,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 246,517 | $807,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 36,380 | $806,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 9,326 | $805,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 398,680 | $805,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 109,054 | $804,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 1,115,465 | $803,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 6,788 | $801,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 38,921 | $799,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 49,943 | $799,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 31,900 | $798,000 | thousands by filing date | put |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 203,787 | $798,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 136,552 | $796,000 | thousands by filing date | |
| TWIN RIV WORLDWIDE HLDGS INC | 90171V204 | COM | 34,879 | $796,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 73,394 | $795,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 31,256 | $794,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 164,000 | $793,000 | thousands by filing date | call |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 32,945 | $793,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 88,774 | $790,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 28,006 | $790,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 49,278 | $786,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 244,913 | $786,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 52,543 | $785,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 52,033 | $784,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 205,900 | $783,000 | thousands by filing date | call |
| CERUS CORP | 157085101 | COM | 151,825 | $783,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 74,274 | $782,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 874,937 | $777,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 52,733 | $775,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 108,513 | $773,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 30,985 | $772,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 255,329 | $771,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 25,609 | $770,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 32,200 | $770,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 58,937 | $770,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 70,000 | $769,000 | thousands by filing date | put |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 73,904 | $769,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 82,514 | $768,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 53,831 | $767,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 253,601 | $766,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 211,305 | $766,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 11,311 | $764,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 131,104 | $762,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 61,869 | $762,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 109,651 | $761,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 20,393 | $761,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 1,571,500 | $759,000 | thousands by filing date | put |
| Delek Logistics Partners LP | 24664T103 | Com | 24,261 | $759,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 124,627 | $759,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 58,993 | $758,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 64,990 | $758,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576101 | COMMON STOCK | 36,147 | $758,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 19,696 | $758,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 83,289 | $757,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 124,869 | $756,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 52,207 | $755,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 36,982 | $752,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 132,756 | $752,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 173,194 | $751,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 64,898 | $750,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 63,718 | $748,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 89,969 | $748,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 74,305 | $748,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 14,644 | $747,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 30,196 | $747,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 65,864 | $747,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 67,795 | $747,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 35,237 | $744,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 71,425 | $744,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 51,637 | $743,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 27,219 | $742,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,026,435 | $741,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 25,477 | $740,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 271,100 | $739,000 | thousands by filing date | put |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 66,943 | $738,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 47,967 | $738,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 55,186 | $737,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 47,122 | $737,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 38,041 | $736,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 89,260 | $736,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 11,454 | $733,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 31,610 | $732,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 188,390 | $731,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 144,001 | $730,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 118,268 | $729,000 | thousands by filing date | put |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 48,659 | $729,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 113,802 | $728,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 202,038 | $728,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 800,000 | $728,000 | thousands by filing date | principal |
| XILINX INC | 983919101 | COM | 56,900 | $727,000 | thousands by filing date | put |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 46,542 | $725,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 41,606 | $724,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 41,827 | $723,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 28,348 | $723,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 66,000 | $722,000 | thousands by filing date | call |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 59,496 | $722,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 30,125 | $718,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 47,816 | $716,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 20,413 | $715,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 148,751 | $715,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 28,419 | $714,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 52,006 | $713,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 24,104 | $712,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 58,647 | $711,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 18,922 | $711,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 84,365 | $710,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 50,100 | $709,000 | thousands by filing date | call |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 27,072 | $709,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 44,328 | $709,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 30,538 | $709,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 70,048 | $709,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 135,463 | $708,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 37,813 | $706,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 100,400 | $706,000 | thousands by filing date | put |
| LIMONEIRA CO | 532746104 | COM | 38,353 | $705,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 67,223 | $705,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 61,188 | $701,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 68,233 | $701,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 77,021 | $700,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 96,761 | $700,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 318,001 | $699,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 975,000 | $697,000 | thousands by filing date | call |
| GREENHILL & CO INC COM | 395259104 | Stock | 53,076 | $697,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 217,989 | $697,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 62,010 | $696,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 98,179 | $696,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 26,672 | $695,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 46,541 | $694,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 49,540 | $693,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 473,400 | $691,000 | thousands by filing date | call |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 33,998 | $691,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 56,281 | $687,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 68,575 | $687,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 70,709 | $686,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 113,496 | $684,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 78,352 | $682,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 13,741 | $681,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 18,538 | $680,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 43,246 | $680,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 103,159 | $680,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 35,353 | $680,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 41,171 | $679,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 56,859 | $678,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 100,087 | $678,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 362,796 | $678,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 202,551 | $677,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 115,241 | $675,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 50,736 | $675,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 30,748 | $675,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 56,088 | $674,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 17,517 | $673,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 40,435 | $673,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 312,100 | $672,000 | thousands by filing date | call |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 29,943 | $672,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 17,123 | $670,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 43,708 | $670,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 34,841 | $670,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 27,852 | $669,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 79,768 | $668,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 44,035 | $668,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 34,937 | $668,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 109,983 | $666,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 50,234 | $665,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 20,001 | $665,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 18,667 | $662,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 113,311 | $662,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 103,300 | $659,000 | thousands by filing date | put |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 57,346 | $659,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 32,288 | $659,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 115,107 | $658,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,122,612 | $657,000 | thousands by filing date | put |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 4,262 | $654,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 44,451 | $654,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 23,477 | $654,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 29,228 | $653,000 | thousands by filing date | |
| FRANKLIN LIBERTY HIGH YIELD | 35473P629 | LIBERTY HI YLD | 25,254 | $653,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 136,971 | $653,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 230,100 | $652,000 | thousands by filing date | put |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 6,800 | $652,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 27,023 | $652,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 1,573,900 | $651,000 | thousands by filing date | put |
| HERBALIFE LTD | G4412G101 | COM SHS | 207,700 | $648,000 | thousands by filing date | put |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 24,664 | $648,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 44,622 | $647,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 24,866 | $647,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 114,658 | $647,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 24,856 | $646,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 150,954 | $646,000 | thousands by filing date | |
| WW INTL INC | 98262P101 | COM | 157,300 | $645,000 | thousands by filing date | call |
| BANK FIRST CORP | 06211J100 | COM | 9,716 | $644,000 | thousands by filing date | |
| ALTERYX INC | 02156BAB9 | CONV BD US | 260,000 | $644,000 | thousands by filing date | principal |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 488,000 | $643,000 | thousands by filing date | principal |
| GDL FD | 361570104 | COM SH BEN IT | 69,490 | $639,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 48,912 | $639,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 41,984 | $637,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 176,400 | $637,000 | thousands by filing date | put |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 45,493 | $636,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 26,062 | $636,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 8,471 | $636,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 61,108 | $635,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 44,050 | $633,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 14,147 | $633,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 22,853 | $632,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 24,576 | $629,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 72,644 | $628,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 30,844 | $627,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 723,858 | $627,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 43,631 | $626,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 17,177 | $626,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 94,806 | $625,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 64,746 | $622,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 72,419 | $621,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CY1 | NOTE 5.500% 9/1 | 1,000,000 | $621,000 | thousands by filing date | principal |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 54,213 | $620,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 16,010 | $618,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 547,000 | $618,000 | thousands by filing date | principal |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 21,129 | $617,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 61,126 | $617,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 19,396 | $617,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 49,419 | $615,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 30,840 | $614,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 125,086 | $613,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 67,100 | $611,000 | thousands by filing date | put |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 59,086 | $610,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 35,883 | $610,000 | thousands by filing date | |
| SAFEHOLD INC | 78645L100 | COM | 20,020 | $610,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 19,373 | $610,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 52,591 | $609,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 26,180 | $609,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 23,543 | $608,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 54,375 | $603,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 39,864 | $601,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 6,247 | $601,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 19,264 | $600,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 116,896 | $599,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 35,876 | $599,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 20,965 | $599,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 75,224 | $597,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 70,008 | $596,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 64,325 | $595,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 92,171 | $594,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 23,413 | $594,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 354,756 | $594,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 16,850 | $590,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 128,267 | $589,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 19,032 | $587,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 13,518 | $587,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 27,023 | $587,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 17,117 | $584,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 39,321 | $584,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 24,848 | $584,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 41,216 | $583,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 181,500 | $582,000 | thousands by filing date | put |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 72,900 | $582,000 | thousands by filing date | put |
| PLURALSIGHT INC | 72941B106 | COM CL A | 34,680 | $582,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 21,912 | $580,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 16,904 | $580,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 27,829 | $580,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 137,581 | $580,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 119,187 | $580,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 49,855 | $579,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 52,918 | $579,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 114,478 | $579,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 70,000 | $578,000 | thousands by filing date | call |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 58,100 | $578,000 | thousands by filing date | put |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 45,013 | $576,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V522 | BLOO AN RATI ETF | 13,545 | $576,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 16,557 | $575,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 295,800 | $574,000 | thousands by filing date | call |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 17,176 | $572,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 28,379 | $571,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 59,320 | $571,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 25,909 | $571,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 29,059 | $570,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 15,221 | $570,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 26,121 | $569,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 25,967 | $569,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 1,115,300 | $568,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 39,952 | $568,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 8,400 | $567,000 | thousands by filing date | call |
| BBX CAP CORP NEW | 05491N104 | CL A | 121,358 | $567,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 87,386 | $566,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 72,352 | $563,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 51,708 | $563,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 4,713 | $562,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 6,114 | $561,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 470,585 | $560,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 93,999 | $559,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 153,508 | $559,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 28,880 | $556,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V712 | BLOO MVP MUL ETF | 5,861 | $556,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 65,379 | $555,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 33,749 | $554,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 2,923 | $552,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 29,139 | $551,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 70,195 | $550,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 81,045 | $550,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 33,644 | $549,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 21,151 | $549,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 214,750 | $548,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 552,000 | $548,000 | thousands by filing date | principal |
| MERCHANTS BANCORP IND | 58844R108 | COM | 33,058 | $546,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 23,674 | $546,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 94,867 | $546,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 14,580 | $545,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 52,115 | $545,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 189,582 | $544,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 65,621 | $544,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 32,983 | $542,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 37,918 | $542,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 12,622 | $542,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 51,339 | $540,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 57,558 | $540,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 128,602 | $540,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 141,710 | $540,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 431,049 | $539,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 11,535 | $539,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 51,720 | $539,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 44,837 | $536,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 19,456 | $535,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 38,544 | $535,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 34,410 | $534,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 23,924 | $534,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 34,780 | $533,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 60,075 | $532,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 404,000 | $530,000 | thousands by filing date | call |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 47,606 | $530,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 30,870 | $530,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 33,836 | $529,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 18,108 | $529,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 13,744 | $524,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 104,459 | $524,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 81,855 | $523,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 6,267 | $523,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Municipal Bond ETF | 46435U325 | ETF | 19,995 | $523,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 25,734 | $523,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G680 | S&P FINCIAL REVE | 7,673 | $523,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 36,333 | $521,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 105,000 | $520,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 19,929 | $519,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 30,915 | $518,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 18,818 | $517,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 47,489 | $517,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 64,839 | $516,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 33,324 | $516,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 76,918 | $514,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 35,772 | $514,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 16,375 | $514,000 | thousands by filing date | |
| ENVISTA HOLDINGS CORPORATION | 29415F104 | COM | 18,400 | $513,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 44,826 | $513,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 44,285 | $513,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 17,079 | $513,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 84,644 | $512,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 119,714 | $512,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 26,691 | $511,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 23,717 | $511,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 34,598 | $510,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 8,186 | $510,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 53,366 | $509,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 34,403 | $509,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Municipal Bond ETF | 46435U283 | ETF | 19,524 | $508,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 24,859 | $507,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 43,096 | $506,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 42,377 | $506,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 509,000 | $506,000 | thousands by filing date | principal |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 25,068 | $505,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 16,541 | $505,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 38,605 | $504,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 13,818 | $504,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 74,307 | $503,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 47,100 | $502,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 25,465 | $502,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 53,766 | $502,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 26,959 | $501,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 16,378 | $501,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 50,891 | $501,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 26,168 | $499,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 12,565 | $499,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 20,004 | $499,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 491,000 | $499,000 | thousands by filing date | principal |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 45,965 | $498,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 47,299 | $498,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 39,460 | $496,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 95,679 | $496,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 14,021 | $495,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 967,100 | $494,000 | thousands by filing date | call |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 22,798 | $494,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 79,711 | $494,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 42,001 | $494,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 62,633 | $492,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 27,186 | $491,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 12,226 | $490,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 4,490 | $490,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 46,967 | $489,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 216,185 | $489,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 53,559 | $489,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 158,122 | $489,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 143,083 | $488,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 37,490 | $487,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 32,958 | $487,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N865 | CMN | 10,139 | $487,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 35,052 | $487,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 154,242 | $486,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 435,000 | $486,000 | thousands by filing date | principal |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 14,417 | $484,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 98,700 | $483,000 | thousands by filing date | put |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 25,303 | $483,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 14,257 | $483,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 65,900 | $482,000 | thousands by filing date | call |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 12,086 | $482,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 25,223 | $482,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 20,086 | $482,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 162,884 | $479,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 17,909 | $478,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 83,714 | $478,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 47,150 | $477,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 31,021 | $474,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 89,100 | $472,000 | thousands by filing date | call |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 37,250 | $472,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 44,094 | $472,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 29,437 | $472,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 12,181 | $471,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 27,148 | $471,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 14,686 | $469,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 209,900 | $467,000 | thousands by filing date | call |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 7,372 | $467,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 60,873 | $466,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 91,239 | $464,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 43,682 | $463,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 16,413 | $462,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 30,019 | $462,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 24,438 | $462,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 21,561 | $460,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 35,504 | $460,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 843,200 | $459,000 | thousands by filing date | call |
| Deere & Company | 244199105 | COM | 110,000 | $456,000 | thousands by filing date | put |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 19,973 | $455,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 11,874 | $452,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 18,358 | $452,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 5,724 | $451,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 36,933 | $451,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 132,733 | $450,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 130,731 | $450,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 14,422 | $449,000 | thousands by filing date | |
| TORTOISE ESSENTIAL ASSETS IN | 89148A103 | COM SH BEN INT | 26,926 | $449,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 26,000 | $448,000 | thousands by filing date | call |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 8,087 | $448,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 87,053 | $446,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 65,126 | $446,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 22,925 | $446,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 38,484 | $443,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 14,899 | $443,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 17,602 | $443,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 36,004 | $442,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 15,435 | $442,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 263,265 | $442,000 | thousands by filing date | |
| TENABLE HLDGS INC | 88025T102 | COM | 19,686 | $441,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 154,899 | $441,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 8,814 | $439,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 6,600 | $438,000 | thousands by filing date | call |
| USBANCORPDEL | 902973304 | COM NEW | 252,800 | $438,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 135,400 | $437,000 | thousands by filing date | put |
| PENNS WOODS BANCORP INC | 708430103 | COM | 9,456 | $437,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 6,070 | $436,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 24,782 | $436,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 50,909 | $436,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 30,460 | $434,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 200,000 | $434,000 | thousands by filing date | put |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 77,070 | $434,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 5,669 | $433,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E644 | INTL BUYBACK | 13,860 | $430,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 826,299 | $430,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 32,249 | $429,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 55,789 | $429,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 309,075 | $427,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 33,305 | $425,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 25,672 | $425,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 92,157 | $424,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 196,262 | $424,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 9,920 | $424,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 35,782 | $424,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 30,000 | $423,000 | thousands by filing date | put |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 54,698 | $423,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 270,000 | $421,000 | thousands by filing date | put |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 92,833 | $421,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 12,793 | $421,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 38,900 | $419,000 | thousands by filing date | put |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 9,862 | $419,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 73,004 | $419,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 2,529 | $417,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 500,000 | $417,000 | thousands by filing date | principal |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 77,993 | $416,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 80,592 | $415,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 55,753 | $413,000 | 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 |