13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 6,948 holding rows worth $371,319,221,000.
- Accession
- 0000072971-20-000209
- Filer
- CIK 72971
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 20,268 entries on the cover page, a total value of $371,319,221,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $371,319,221,000 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 CAPTIAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Citigroup, Inc
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- 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 |
|---|---|---|---|---|---|---|
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 27,950 | $185,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 46,666 | $185,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 6,159 | $185,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 744,100 | $184,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 4,306 | $184,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 19,352 | $184,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 18,140 | $184,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 14,800 | $182,000 | thousands by filing date | call |
| CRONOS GROUP INC | 22717L101 | COM | 23,686 | $182,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 141,300 | $181,000 | thousands by filing date | put |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 7,170 | $181,000 | thousands by filing date | |
| IQIYI INC | 46267XAB4 | NOTE 3.750%12/0 | 165,000 | $181,000 | thousands by filing date | principal |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 26,195 | $181,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 8,791 | $179,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 8,021 | $179,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 22,292 | $179,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 15,575 | $179,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 4,381 | $178,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 2,230 | $178,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 27,275 | $178,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 21,133 | $178,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 22,052 | $178,000 | thousands by filing date | |
| B RILEY PRINCIPAL MERGER CORP | 05586Y106 | Com | 17,810 | $178,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 92,647 | $177,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 12,421 | $177,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 14,123 | $176,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 5,931 | $176,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 37,416 | $176,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 8,779 | $175,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 17,300 | $175,000 | thousands by filing date | call |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 7,444 | $175,000 | thousands by filing date | |
| OIL STS INTL INC | 678026AH8 | NOTE 1.500% 2/1 | 201,000 | $175,000 | thousands by filing date | principal |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 16,858 | $175,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 370,000 | $174,000 | thousands by filing date | call |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 17,506 | $174,000 | thousands by filing date | |
| THE BALDWIN INSURANCE GRP IN | 05589G102 | COM CL A | 10,796 | $173,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 41,009 | $173,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 18,980 | $173,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 30,500 | $172,000 | thousands by filing date | put |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 15,669 | $172,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 106,900 | $171,000 | thousands by filing date | call |
| Lifetime Brands Inc | 53222Q103 | COM | 24,647 | $171,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 423,700 | $171,000 | thousands by filing date | put |
| Etfmg Prime Mobile | 26924G409 | COM | 3,439 | $171,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 26,143 | $171,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 10,315 | $170,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 2,953 | $170,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 101,791 | $170,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 9,645 | $169,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 23,500 | $169,000 | thousands by filing date | call |
| Rafael Holdings Inc Class B | 75062E106 | COM | 9,481 | $169,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 9,157 | $169,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 6,577 | $169,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 175,000 | $168,000 | thousands by filing date | call |
| FOX CORP CL A COM | 35137L105 | Stock | 23,600 | $168,000 | thousands by filing date | call |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 20,645 | $168,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 15,683 | $168,000 | thousands by filing date | |
| PROGYNY INC COM | 74340E103 | Stock | 6,097 | $167,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 14,932 | $167,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 6,495 | $167,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 6,192 | $167,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 4,387 | $167,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 30,386 | $167,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 243,600 | $166,000 | thousands by filing date | put |
| GAIA INC NEW | 36269P104 | CL A | 20,669 | $166,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 18,491 | $166,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 165,000 | $166,000 | thousands by filing date | principal |
| Procter & Gamble Co | 742718109 | COM | 245,024 | $164,000 | thousands by filing date | put |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 41,774 | $164,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E608 | KNLDG LD WD ETF | 4,512 | $164,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 5,000 | $163,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 81,108 | $163,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 6,608 | $162,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 8,142 | $162,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 181,953 | $162,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 21,686 | $162,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 39,568 | $162,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 15,698 | $161,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 3,101 | $161,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 2,373 | $160,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 43,302 | $160,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 40,918 | $160,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 115,197 | $160,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 11,534 | $159,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 1,134 | $158,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 170,100 | $158,000 | thousands by filing date | put |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 30,820 | $158,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 2,344 | $158,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 158,000 | $158,000 | thousands by filing date | principal |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 50,482 | $157,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 17,773 | $157,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 157,000 | $157,000 | thousands by filing date | principal |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 9,694 | $157,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 19,072 | $156,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 7,685 | $156,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 16,406 | $156,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 36,275 | $155,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 6,030 | $154,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 13,912 | $153,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 15,599 | $153,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 10,278 | $153,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 15,503 | $153,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 38,900 | $152,000 | thousands by filing date | call |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 18,034 | $152,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188408 | LOW DURTIN ETF | 3,001 | $152,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 56,700 | $152,000 | thousands by filing date | call |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 11,300 | $152,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 19,584 | $152,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 7,126 | $152,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 2,023 | $152,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 5,972 | $152,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 32,620 | $152,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 8,866 | $151,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 47,807 | $151,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 34,415 | $150,000 | thousands by filing date | put |
| CORMEDIX INC COM | 21900C308 | Stock | 20,539 | $150,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 152,500 | $150,000 | thousands by filing date | put |
| MONROE CAPITAL CORP | 610335101 | COM | 13,819 | $150,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 9,619 | $149,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 84,560 | $149,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 82,100 | $148,000 | thousands by filing date | put |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 2,942 | $148,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 7,054 | $148,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 4,192 | $148,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 15,985 | $148,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 5,668 | $148,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 24,375 | $147,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 36,191 | $147,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 6,407 | $146,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 29,663 | $146,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 3,001 | $145,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 24,503 | $145,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 65,000 | $145,000 | thousands by filing date | principal |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 28,836 | $144,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 3,725 | $144,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 8,369 | $144,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 20,933 | $144,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 270,000 | $143,000 | thousands by filing date | put |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 64,795 | $143,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 1,845 | $143,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 13,185 | $143,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 26,722 | $143,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 15,000 | $142,000 | thousands by filing date | call |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 9,540 | $142,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 4,304 | $142,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 33,827 | $142,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 134,000 | $142,000 | thousands by filing date | principal |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 8,578 | $141,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 18,369 | $141,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 55,800 | $140,000 | thousands by filing date | put |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 10,567 | $140,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 6,731 | $140,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 11,279 | $140,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 9,275 | $140,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 9,500 | $139,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 45,653 | $139,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 12,163 | $139,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 11,362 | $138,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 120,000 | $138,000 | thousands by filing date | principal |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 25,840 | $137,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 35,092 | $137,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 6,983 | $136,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 19,446 | $136,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 22,029 | $136,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 3,265 | $135,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 6,780 | $135,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 145,888 | $134,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 19,324 | $134,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 16,356 | $134,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 3,991 | $133,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 2,760 | $133,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 11,894 | $133,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 195,000 | $132,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 1,842 | $132,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 12,835 | $132,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 10,172 | $131,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 28,572 | $131,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 35,000 | $130,000 | thousands by filing date | call |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 60,011 | $130,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 7,326 | $129,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 9,212 | $129,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 39,391 | $129,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 15,790 | $129,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 18,602 | $129,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 41,896 | $129,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 3,416 | $127,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 120,000 | $127,000 | thousands by filing date | principal |
| SALISBURY BANCORP INC | 795226109 | COM | 2,775 | $127,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 31,595 | $127,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 6,652 | $126,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 22,301 | $126,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 105,000 | $126,000 | thousands by filing date | principal |
| NIKE,Inc. Class B | 654106103 | COM | 9,000 | $125,000 | thousands by filing date | call |
| COMSTOCK RES INC COM | 205768302 | Stock | 15,078 | $125,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,806 | $125,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 25,000 | $125,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,109 | $125,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 203,700 | $125,000 | thousands by filing date | call |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 11,068 | $125,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 112,700 | $124,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 317,000 | $124,000 | thousands by filing date | put |
| Walmart Inc. | 931142103 | COM | 100,000 | $124,000 | thousands by filing date | call |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 17,179 | $123,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $123,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 196,954 | $123,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 13,500 | $122,000 | thousands by filing date | call |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 138,071 | $122,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 18,100 | $121,000 | thousands by filing date | put |
| CHIASMA INC | 16706W102 | COM | 24,393 | $121,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 242,300 | $120,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 3,871 | $120,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 2,262 | $120,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 16,228 | $120,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 18,190 | $120,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 62,500 | $119,000 | thousands by filing date | call |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 11,996 | $119,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 16,571 | $119,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 13,641 | $118,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 43,520 | $118,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 7,776 | $117,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 3,229 | $117,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 1,948 | $117,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 14,664 | $117,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 80,000 | $116,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 2,115 | $116,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 5,465 | $115,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 37,242 | $115,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 10,332 | $114,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 2,668 | $114,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 3,719 | $114,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 39,604 | $114,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,478 | $114,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 86,067 | $114,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 21,712 | $114,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 4,805 | $113,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 40,000 | $112,000 | thousands by filing date | call |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 25,934 | $112,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 11,401 | $112,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 7,681 | $112,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 16,775 | $112,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 120,000 | $112,000 | thousands by filing date | principal |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 8,957 | $112,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 156,600 | $111,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 2,705 | $111,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 20,000 | $111,000 | thousands by filing date | call |
| LSB INDS INC | 502160104 | COM | 26,461 | $111,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 2,806 | $111,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 51,447 | $111,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 2,581 | $110,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 6,155 | $110,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 10,360 | $110,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 4,339 | $110,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 2,626 | $110,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 50,385 | $110,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 24,692 | $109,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 14,582 | $109,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 8,336 | $109,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 249,600 | $108,000 | thousands by filing date | call |
| WESTERN DIGITAL CORP | 958102105 | COM | 103,800 | $108,000 | thousands by filing date | put |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 36,445 | $108,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 18,336 | $108,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 52,700 | $108,000 | thousands by filing date | call |
| CIVEO CORP CDA | 17878Y108 | COM | 83,718 | $108,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 829,100 | $107,000 | thousands by filing date | put |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,000 | $107,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 55,800 | $107,000 | thousands by filing date | call |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 5,692 | $107,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 3,885 | $106,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 5,930 | $106,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,956 | $106,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 12,188 | $106,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 19,679 | $106,000 | thousands by filing date | |
| World Gold TR | 98149E204 | SPRD GLD Minis | 7,000 | $106,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 11,100 | $106,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 50,000 | $105,000 | thousands by filing date | call |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 6,622 | $105,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 2,018 | $105,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 26,057 | $105,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 4,519 | $104,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,472 | $104,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 17,423 | $104,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 17,790 | $103,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 60,850 | $103,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 150,000 | $103,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 5,752 | $103,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 12,713 | $102,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 22,786 | $102,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 6,059 | $102,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 3,724 | $102,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 11,700 | $101,000 | thousands by filing date | call |
| Adobe Inc | 00724F101 | COM | 2,000 | $101,000 | thousands by filing date | call |
| Renovaro Inc | 29350E104 | Common Stock | 20,229 | $101,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 6,074 | $101,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 67,707 | $101,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 22,229 | $100,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 4,498 | $100,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 16,100 | $99,000 | thousands by filing date | put |
| IGM BIOSCIENCES INC | 449585108 | COM | 2,612 | $99,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 22,369 | $99,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 32,367 | $99,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 38,662 | $99,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 9,053 | $98,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 6,330 | $98,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 52,321 | $98,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 79,400 | $97,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 5,500 | $97,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 30,935 | $97,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 6,652 | $97,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 375,000 | $97,000 | thousands by filing date | put |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 13,654 | $97,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 100,000 | $97,000 | thousands by filing date | principal |
| OLD POINT FINL CORP | 680194107 | COM | 3,529 | $97,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 99,000 | $97,000 | thousands by filing date | principal |
| iShares Silver Trust | 46428Q109 | COM | 1,651,900 | $96,000 | thousands by filing date | call |
| DYADIC INTL INC DEL | 26745T101 | COM | 18,504 | $96,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 18,062 | $96,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 547,000 | $95,000 | thousands by filing date | put |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 3,587 | $95,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 38,200 | $95,000 | thousands by filing date | call |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 18,152 | $95,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 11,023 | $95,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 48,397 | $95,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 12,722 | $95,000 | thousands by filing date | |
| AKAZOO SA COM NPV | L0164E108 | COMMON STOCK | 18,014 | $95,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 95,000 | $95,000 | thousands by filing date | principal |
| POST HLDGS INC | 737446104 | COM | 16,500 | $94,000 | thousands by filing date | call |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 266,596 | $94,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 2,729 | $94,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 31,302 | $94,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 30,447 | $94,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,891 | $94,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 10,057 | $94,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 7,028 | $94,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 18,700 | $93,000 | thousands by filing date | call |
| 22ND CENTY GROUP INC | 90137F103 | COM | 83,856 | $92,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $92,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 90,000 | $92,000 | thousands by filing date | principal |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 98,000 | $92,000 | thousands by filing date | principal |
| HCA Healthcare Inc | 40412C101 | COM | 2,700 | $91,000 | thousands by filing date | call |
| CYTOSORBENTS CORP | 23283X206 | CMN | 23,510 | $91,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 31,535 | $91,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 31,470 | $90,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 91,000 | $90,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 42,000 | $89,000 | thousands by filing date | principal |
| CSS INDS INC | 125906107 | COMMON STOCK | 19,751 | $87,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 33,985 | $87,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 2,199 | $87,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 1,038 | $86,000 | thousands by filing date | put |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 4,791 | $86,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 18,000 | $86,000 | thousands by filing date | put |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 5,401 | $86,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 7,828 | $86,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 1,691 | $86,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 102,084 | $86,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 3,840 | $86,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 6,056 | $85,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 17,690 | $85,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 3,980 | $85,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 10,995 | $85,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 34,000 | $84,000 | thousands by filing date | call |
| FREIGHTCAR AMER INC | 357023100 | COM | 40,881 | $84,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 8,490 | $84,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 9,999 | $83,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 1,619 | $83,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 80,000 | $83,000 | thousands by filing date | principal |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 28,600 | $82,000 | thousands by filing date | put |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,636 | $82,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 4,476 | $82,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 1,516 | $82,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 51,635 | $82,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 125,700 | $81,000 | thousands by filing date | call |
| VEONEER INC | 92336X109 | COM | 5,193 | $81,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 6,324 | $81,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 849 | $81,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 9,482 | $81,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 26,601 | $80,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 3,000 | $80,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,015 | $80,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 5,831 | $79,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 46,417 | $79,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 48,000 | $79,000 | thousands by filing date | principal |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 308,900 | $78,000 | thousands by filing date | put |
| Deere & Company | 244199105 | COM | 24,700 | $77,000 | thousands by filing date | put |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 15,070 | $77,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 7,400 | $76,000 | thousands by filing date | put |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 20,700 | $76,000 | thousands by filing date | call |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 6,325 | $76,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 21,253 | $76,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 75,170 | $76,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 80,000 | $76,000 | thousands by filing date | principal |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,001 | $75,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 2,857 | $75,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 5,453 | $75,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 3,051 | $75,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 4,341 | $75,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 3,531 | $75,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 72,000 | $75,000 | thousands by filing date | principal |
| OSHKOSH CORP COM | 688239201 | Stock | 30,000 | $74,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 166,700 | $74,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 3,642 | $73,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 7,200 | $73,000 | thousands by filing date | call |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 25,000 | $73,000 | thousands by filing date | put |
| SOLITON INC | 834251100 | COM | 6,637 | $73,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 1,845 | $73,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 30,798 | $73,000 | thousands by filing date | |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 909 | $72,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 18,499 | $72,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 7,811 | $72,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 34,282 | $72,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 9,983 | $72,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 212,100 | $71,000 | thousands by filing date | call |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 21,691 | $71,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 9,781 | $70,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 17,500 | $70,000 | thousands by filing date | call |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 3,164 | $70,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 2,613 | $70,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 2,925 | $69,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 5,501 | $69,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 3,351 | $68,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 6,743 | $68,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 16,666 | $68,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 42,964 | $68,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 36,128 | $68,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 17,600 | $67,000 | thousands by filing date | put |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 270,000 | $67,000 | thousands by filing date | put |
| NOVAVAX INC | 670002401 | COM NEW | 16,855 | $67,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 5,751 | $67,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 2,019 | $67,000 | thousands by filing date | |
| GS FIN CORP | 362273302 | MEDIUM TERM NTS | 465 | $67,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 39,000 | $67,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 876,000 | $66,000 | thousands by filing date | call |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 8,964 | $66,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 137,200 | $65,000 | thousands by filing date | call |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 5,529 | $65,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 16,071 | $65,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $65,000 | thousands by filing date | principal |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 149,800 | $64,000 | thousands by filing date | put |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 40,100 | $63,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 981 | $63,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 73,954 | $63,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 53,425 | $63,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $62,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 200,000 | $62,000 | thousands by filing date | call |
| NEW GOLD INC CDA | 644535106 | COM | 69,340 | $62,000 | thousands by filing date | |
| VIEMED HEALTHCARE INC | 92663R105 | COM | 10,000 | $62,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 14,062 | $62,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 36,000 | $62,000 | thousands by filing date | call |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 2,506 | $62,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 60,228 | $62,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 63,000 | $62,000 | thousands by filing date | principal |
| AUTOZONE INC COM | 053332102 | Stock | 3,000 | $61,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 850 | $61,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 10,229 | $61,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 30,032 | $61,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 2,361 | $61,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 15,397 | $61,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 1,865 | $60,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 22,549 | $60,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 9,297 | $60,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 34,152 | $60,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 50,000 | $60,000 | thousands by filing date | principal |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 18,070 | $60,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 6,045 | $59,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 61,000 | $59,000 | thousands by filing date | principal |
| FITBIT INC | 33812L102 | CL A | 132,100 | $59,000 | thousands by filing date | call |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 51,800 | $58,000 | thousands by filing date | put |
| AFLAC INC COM | 001055102 | Stock | 1,450 | $58,000 | thousands by filing date | put |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 1,138 | $58,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 1,048 | $58,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 15,784 | $58,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 200,000 | $57,000 | thousands by filing date | call |
| HERSHEY CO COM | 427866108 | Stock | 17,600 | $57,000 | thousands by filing date | call |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 30,300 | $57,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 1,499 | $57,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 15,893 | $57,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 44,575 | $57,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 3,295 | $57,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 21,900 | $56,000 | thousands by filing date | put |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 2,124 | $56,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 17,033 | $56,000 | thousands by filing date | |
| Youdao Inc - Adr | 98741T104 | COM | 4,000 | $56,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 11,234 | $56,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 3,672 | $56,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 2,791 | $56,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 20,000 | $55,000 | thousands by filing date | call |
| FUELCELL ENERGY INC | 35952H601 | COM | 22,027 | $55,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 4,202 | $55,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 6,265 | $55,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $55,000 | thousands by filing date | principal |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 3,800 | $55,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 28,403 | $55,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 1,606 | $55,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 29,600 | $54,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 450 | $54,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 10,055 | $54,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 4,203 | $54,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 3,159 | $54,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 50,000 | $54,000 | thousands by filing date | principal |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 1,880 | $53,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 1,876 | $52,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-20-000209 | this filing | 2020-02-14 | acceptance time not in the bulk data set |