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 |
|---|---|---|---|---|---|---|
| BLACKROCK VA MUN BD TR | 092481100 | COM | 3,082 | $52,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 1,272 | $52,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 23,116 | $52,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 51,000 | $52,000 | thousands by filing date | principal |
| GREENLANE HLDGS INC | 395330103 | CL A | 15,556 | $51,000 | thousands by filing date | |
| GEN DIGITAL INC COM | 668771108 | Stock | 175,000 | $50,000 | thousands by filing date | put |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 18,946 | $50,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 53,738 | $50,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 42,325 | $50,000 | thousands by filing date | |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 51,000 | $50,000 | thousands by filing date | principal |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 8,133 | $50,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 801 | $50,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 26,137 | $49,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 1,791 | $49,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 213,500 | $48,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 99,800 | $48,000 | thousands by filing date | put |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 2,089 | $48,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 13,155 | $48,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 34,500 | $48,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 984 | $48,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 40,000 | $48,000 | thousands by filing date | put |
| VINCE HLDG CORP | 92719W207 | COM NEW | 2,819 | $48,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 3,545 | $48,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 1,251 | $48,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,220 | $48,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 520 | $48,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 50,000 | $48,000 | thousands by filing date | principal |
| Texas Instruments Incorporated | 882508104 | COM | 3,600 | $47,000 | thousands by filing date | call |
| NEXTDECADE CORP | 65342K105 | COM | 7,587 | $47,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 253 | $47,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 36,000 | $47,000 | thousands by filing date | call |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 17,913 | $47,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 1,810 | $47,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 15,350 | $47,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 9,500 | $47,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 62,200 | $46,000 | thousands by filing date | put |
| TILRAY INC | 88688T100 | COM CL 2 | 2,707 | $46,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 1,527 | $46,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 6,000 | $46,000 | thousands by filing date | call |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 46,097 | $46,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 135,100 | $45,000 | thousands by filing date | call |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 650 | $45,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 3,810 | $45,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 37,492 | $45,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,401 | $45,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 172,400 | $44,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 195,000 | $44,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 825 | $44,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 61,379 | $44,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 7,263 | $44,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 17,205 | $44,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 56,500 | $43,000 | thousands by filing date | put |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,336 | $43,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 6,000 | $43,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 1,663 | $43,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,645 | $43,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 20,881 | $43,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 3,000 | $43,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 46,000 | $43,000 | thousands by filing date | principal |
| International Business Machines Corporation | 459200101 | COM | 173,800 | $42,000 | thousands by filing date | call |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 5,000 | $42,000 | thousands by filing date | call |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,073 | $42,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,472 | $42,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 3,872 | $42,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 6,534 | $42,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 46,736 | $42,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 38,943 | $42,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,237 | $42,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 15,003 | $42,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 7,900 | $42,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 2,505 | $42,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 23,123 | $42,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 40,000 | $42,000 | thousands by filing date | principal |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 150,000 | $41,000 | thousands by filing date | call |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 7,000 | $41,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 6,857 | $41,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 235 | $41,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 53,309 | $41,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 26,219 | $41,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 30,812 | $41,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 26,749 | $41,000 | thousands by filing date | |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 330 | $41,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 276,800 | $40,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 1,600 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 250 | $40,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 12,158 | $40,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 38,400 | $40,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,720 | $40,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 4,229 | $39,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 10,197 | $39,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 207,700 | $39,000 | thousands by filing date | put |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 4,336 | $39,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 1,002 | $39,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 1,492 | $39,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 24,229 | $39,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 41,600 | $38,000 | thousands by filing date | call |
| DESTINATION XL GROUP INC | 25065K104 | COM | 29,433 | $38,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 775 | $38,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $38,000 | thousands by filing date | principal |
| iShares Silver Trust | 46428Q109 | COM | 417,100 | $37,000 | thousands by filing date | put |
| PG&E CORP COM | 69331C108 | Stock | 4,000 | $37,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 293 | $37,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 500 | $37,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 5,450 | $37,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 6,330 | $37,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 2,000 | $36,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 562 | $36,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 530 | $36,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 13,434 | $36,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 112,189 | $36,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 184,000 | $35,000 | thousands by filing date | put |
| China Yuchai Intl Ltd | G21082105 | COM | 2,647 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 567 | $35,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 1,538 | $35,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 75,600 | $35,000 | thousands by filing date | call |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 825 | $35,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 786 | $35,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,262 | $35,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 28,000 | $34,000 | thousands by filing date | put |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 11,200 | $34,000 | thousands by filing date | put |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 3,288 | $34,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 1,785 | $34,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 10,205 | $34,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 991,420 | $33,000 | thousands by filing date | put |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 649 | $33,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 7,789 | $33,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 58,400 | $33,000 | thousands by filing date | call |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 5,335 | $33,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 1,993 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 649 | $33,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 6,249 | $33,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 34,801 | $33,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 13,500 | $33,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 1,349 | $32,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 111,800 | $32,000 | thousands by filing date | put |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 4,651 | $32,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,155 | $32,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 562 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 1,078 | $31,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 7,366 | $31,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $31,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 3,690 | $31,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 22,454 | $31,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 40,000 | $31,000 | thousands by filing date | principal |
| OSI ETF TR | 67110P100 | OSI ETF TR | 1,063 | $31,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 47,807 | $30,000 | thousands by filing date | put |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 1,778 | $30,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 4,000 | $30,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,150 | $30,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 35,000 | $30,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 1,391 | $30,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 37,358 | $30,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 13,988 | $30,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 1,000 | $29,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 2,567 | $29,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 28,000 | $29,000 | thousands by filing date | principal |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,150 | $29,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 1,924 | $29,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q803 | DIVERSIFIED ET | 1,238 | $29,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 55,500 | $28,000 | thousands by filing date | call |
| METLIFE INC COM | 59156R108 | Stock | 50,000 | $28,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 969 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 711 | $28,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 4,156 | $28,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 2,346 | $28,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 10,839 | $28,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 2,616 | $28,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 9,000 | $28,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 1,101 | $28,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 1,200 | $27,000 | thousands by filing date | call |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 41,600 | $27,000 | thousands by filing date | call |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 100,000 | $27,000 | thousands by filing date | call |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,769 | $27,000 | thousands by filing date | |
| PHATHOM PHARMACEUTICALS INC | 71722W107 | COMMON STOCK | 876 | $27,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 1,078 | $27,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,372 | $27,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 13,090 | $27,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 6,200 | $27,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 4,892 | $27,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 27,000 | $27,000 | thousands by filing date | principal |
| MAJESCO | 56068V102 | COM | 3,304 | $27,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 2,600 | $27,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 7,970 | $26,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 28,100 | $26,000 | thousands by filing date | call |
| UNITED GUARDIAN INC | 910571108 | COM | 1,300 | $26,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 616 | $26,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 27,523 | $26,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 21,064 | $26,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 6,453 | $26,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 1,446 | $25,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 2,773 | $25,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 4,500 | $25,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 6,266 | $25,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 35,489 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 2,543 | $25,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 56,465 | $25,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 15,572 | $25,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 24,000 | $25,000 | thousands by filing date | principal |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,378 | $24,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 139,800 | $24,000 | thousands by filing date | put |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 2,843 | $24,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 1,802 | $24,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 12,000 | $24,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,500 | $24,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,701 | $24,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 526 | $24,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 981 | $24,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 490 | $24,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 2,950 | $24,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 17,000 | $23,000 | thousands by filing date | put |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,000 | $23,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 3,978 | $23,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 1,142 | $23,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,451 | $23,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 25,000 | $23,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 300,000 | $22,000 | thousands by filing date | put |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 48,700 | $22,000 | thousands by filing date | call |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 35,000 | $22,000 | thousands by filing date | call |
| iShares iBonds Dec. 2029 Corporate Bond ETF | 46436E205 | ETF | 856 | $22,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 700 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,107 | $22,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 1,950 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 915 | $22,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 767 | $22,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,386 | $22,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,070 | $22,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 39,800 | $21,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 14,861 | $21,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 872 | $21,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 8,436 | $21,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 56 | $21,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 36,700 | $21,000 | thousands by filing date | put |
| PFSWEB INC | 717098206 | COM | 5,354 | $21,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 5,000 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,600 | $21,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 4,000 | $21,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 1,172 | $21,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 53,315 | $20,000 | thousands by filing date | put |
| FIRST SOLAR INC COM | 336433107 | Stock | 17,500 | $20,000 | thousands by filing date | put |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 1,888 | $20,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A388 | APTUS DEFINED | 723 | $20,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 2,159 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,062 | $20,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 148 | $20,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 10,097 | $20,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 2,100 | $20,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 6,500 | $20,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 2,500 | $20,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 8,000 | $20,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 7,586 | $20,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 19,000 | $20,000 | thousands by filing date | principal |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 26,500 | $19,000 | thousands by filing date | call |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 10,000 | $19,000 | thousands by filing date | put |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 2,000 | $19,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 13,900 | $19,000 | thousands by filing date | put |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 791 | $19,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 5,422 | $19,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 4,000 | $19,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 62,056 | $19,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,250 | $19,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 1,253 | $19,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 16,645 | $19,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 33,200 | $18,000 | thousands by filing date | call |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 545 | $18,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 91,500 | $18,000 | thousands by filing date | call |
| GEOPARK LTD USD SHS | G38327105 | Stock | 817 | $18,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 3,200 | $18,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,203 | $18,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 496 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 737 | $18,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 3,799 | $18,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 1,955 | $18,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 6,940 | $18,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $18,000 | thousands by filing date | |
| TIGERSHARES TR | 88680T108 | UP FINTC CHIN US | 623 | $18,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 5,499 | $17,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 536 | $17,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 41,700 | $17,000 | thousands by filing date | put |
| VERITONE INC | 92347M100 | COM | 7,000 | $17,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y609 | CMN | 661 | $17,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 1,385 | $17,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 16,000 | $17,000 | thousands by filing date | principal |
| Concho Resources Inc. | 20605P101 | COM | 31,000 | $16,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 661 | $16,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 193,400 | $16,000 | thousands by filing date | put |
| SOUND FINL BANCORP INC | 83607A100 | COM | 453 | $16,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 827 | $16,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2029 CORPORATE BOND ETF | 46138J577 | ETF | 784 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J585 | BULETSHS 2027 | 621 | $16,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 3,352 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 739 | $16,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 3,415 | $16,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $16,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $16,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 473 | $16,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 9,400 | $15,000 | thousands by filing date | call |
| Vanguard Small-Cap ETF | 922908751 | SHS | 5,800 | $15,000 | thousands by filing date | put |
| VWO | 922042858 | SHS | 18,781 | $15,000 | thousands by filing date | put |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 1,500 | $15,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 345,000 | $15,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717Y790 | US EFFIC CORE FD | 510 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A222 | APTUS COLLRD INV | 592 | $15,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 294 | $15,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 231,500 | $15,000 | thousands by filing date | put |
| VEON LTD | 91822M106 | SPONSORED ADR | 5,755 | $15,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 1,050 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 151 | $15,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 2,815 | $15,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 979 | $15,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 18,000 | $15,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 3,925 | $15,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 27,869 | $15,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,500 | $14,000 | thousands by filing date | put |
| EXXON MOBIL CORP | 30231G102 | COM | 1,014 | $14,000 | thousands by filing date | put |
| DOLLAR TREE INC COM | 256746108 | Stock | 2,800 | $14,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,997 | $14,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 6,260 | $14,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 200,000 | $14,000 | thousands by filing date | put |
| NOBLE ENERGY INC | 655044105 | COM | 75,500 | $14,000 | thousands by filing date | call |
| VALUE LINE INC | 920437100 | COMMON STOCK | 486 | $14,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,101 | $14,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 690 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 288 | $14,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 579 | $14,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 2,950 | $14,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 3,937 | $14,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 2,008 | $14,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 819 | $14,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 593 | $14,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 15,989 | $14,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 2,500 | $14,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 5,619 | $14,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,501 | $14,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 14,000 | $14,000 | thousands by filing date | principal |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 406 | $13,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 3,693 | $13,000 | thousands by filing date | |
| XEROX HOLDINGS CORP | 98421M106 | COM NEW | 199,600 | $13,000 | thousands by filing date | put |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 266 | $13,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 251 | $13,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 40,000 | $13,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 460 | $13,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 2,600 | $13,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 5,003 | $13,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 151 | $13,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 4,002 | $13,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 860 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $13,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 8,859 | $13,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 11,997 | $13,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 10,700 | $12,000 | thousands by filing date | put |
| DELEK US HLDGS INC NEW COM | 24665A103 | Stock | 106,000 | $12,000 | thousands by filing date | call |
| YUM BRANDS INC COM | 988498101 | Stock | 25,000 | $12,000 | thousands by filing date | call |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 36,200 | $12,000 | thousands by filing date | put |
| LOOP INDS INC | 543518104 | COM | 1,200 | $12,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 648 | $12,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 522 | $12,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 250 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 754 | $12,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,000 | $12,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 15,965 | $12,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 471 | $12,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 935 | $12,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAJ6 | NOTE 4.125% 9/1 | 9,000 | $12,000 | thousands by filing date | principal |
| UNIQUE FABRICATING INC | 90915J103 | COM | 3,000 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 652 | $12,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 7,804 | $12,000 | thousands by filing date | |
| CANCER GENETICS INC | 13739U203 | COM NEW | 2,000 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741JS59 | MTNF 5/2 | 12,000 | $12,000 | thousands by filing date | principal |
| Citigroup Inc. | 172967424 | COM | 16,700 | $11,000 | thousands by filing date | put |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 33,900 | $11,000 | thousands by filing date | put |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 15,400 | $11,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 225 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 175 | $11,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 10,900 | $11,000 | thousands by filing date | call |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,500 | $11,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 459 | $11,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 100,000 | $11,000 | thousands by filing date | put |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 10,600 | $11,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 2,474 | $11,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,001 | $11,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 234 | $11,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 360 | $11,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 2,820 | $11,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 507 | $11,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 4,291 | $11,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 19,275 | $11,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 290,000 | $10,000 | thousands by filing date | put |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 595,000 | $10,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,001 | $10,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 175,100 | $10,000 | thousands by filing date | put |
| AGF INVTS TR | 00110G408 | US MARKET NETRL | 429 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 483 | $10,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 3,300 | $10,000 | thousands by filing date | put |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 26,300 | $10,000 | thousands by filing date | put |
| ALLERGAN PLC | G0177J108 | SHS | 21,000 | $10,000 | thousands by filing date | put |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 513 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 201 | $10,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 206 | $10,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 831 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 322 | $10,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 400,000 | $10,000 | thousands by filing date | put |
| Ampio Pharmaceuticals | 03209T109 | COM | 17,874 | $10,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 668 | $10,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 7,794 | $10,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 251 | $10,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 200 | $10,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 7,000 | $10,000 | thousands by filing date | principal |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 6,091 | $10,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 376 | $10,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 12,000 | $10,000 | thousands by filing date | principal |
| IJH | 464287507 | COM | 2,000 | $9,000 | thousands by filing date | put |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 12,000 | $9,000 | thousands by filing date | put |
| RANGE RES CORP COM | 75281A109 | Stock | 22,500 | $9,000 | thousands by filing date | put |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 11,800 | $9,000 | thousands by filing date | put |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 4,000 | $9,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 346 | $9,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 10,012 | $9,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,501 | $9,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 225 | $9,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,001 | $9,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 75,000 | $9,000 | thousands by filing date | call |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 6,408 | $9,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $9,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 16,035 | $9,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 500 | $9,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 20,000 | $9,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 21,872 | $9,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 1,000 | $9,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 3,756 | $9,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 1,959 | $9,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 26,750 | $9,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 4,129 | $9,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AN1 | NOTE 3.250% 5/1 | 10,000 | $9,000 | thousands by filing date | principal |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 415 | $9,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,000 | $8,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 9,200 | $8,000 | thousands by filing date | put |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 2,700 | $8,000 | thousands by filing date | put |
| JPMorgan Chase & Co | 46625H100 | COM | 28,913 | $8,000 | thousands by filing date | put |
| McDonalds Corporation | 580135101 | COM | 39 | $8,000 | thousands by filing date | put |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 58,600 | $8,000 | thousands by filing date | put |
| Union Pacific Corporation | 907818108 | COM | 45,400 | $8,000 | thousands by filing date | put |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 6,900 | $8,000 | thousands by filing date | put |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 20,400 | $8,000 | thousands by filing date | put |
| Waste Management, Inc. | 94106L109 | COM | 115,000 | $8,000 | thousands by filing date | put |
| DATADOGINCCLASSA | 23804L103 | STOK | 2,400 | $8,000 | thousands by filing date | call |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,872 | $8,000 | thousands by filing date | |
| SITIME CORP COM | 82982T106 | Stock | 300 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 440,000 | $8,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,285 | $8,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 201 | $8,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 3,541 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 300 | $8,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 47 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 519 | $8,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 249 | $8,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 233 | $8,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 380 | $8,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 27,000 | $8,000 | thousands by filing date | put |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 10,000 | $8,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 31,190 | $8,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 848 | $8,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 874 | $8,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 3,100 | $8,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 10,100 | $7,000 | thousands by filing date | put |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 11,300 | $7,000 | thousands by filing date | put |
| ENBRIDGE INC COM | 29250N105 | Stock | 6,000 | $7,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 250,000 | $7,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 65,100 | $7,000 | thousands by filing date | put |
| PEABODY ENGR CORP | 704551100 | COM | 16,200 | $7,000 | thousands by filing date | call |
| ETF SER SOLUTIONS | 26922A446 | OPUS SML CP VL | 275 | $7,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 269 | $7,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 4,000 | $7,000 | thousands by filing date | call |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 587 | $7,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 1,295 | $7,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 1,001 | $7,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 10,000 | $7,000 | thousands by filing date | put |
| L BRANDS INC | 501797104 | COM | 35,000 | $7,000 | thousands by filing date | call |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 388 | $7,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 531 | $7,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 210 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 162 | $7,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 466 | $7,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 3,339 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 77 | $7,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 7,985 | $7,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 739 | $7,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 3,000 | $7,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 358 | $7,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,000 | $7,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 544 | $7,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 4,473 | $7,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 2,360 | $7,000 | thousands by filing date | |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 146,707 | $7,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 3,900 | $6,000 | thousands by filing date | put |
| Altria Group Inc | 02209S103 | COM | 235,615 | $6,000 | thousands by filing date | put |
| VTI | 922908769 | COM | 2,500 | $6,000 | thousands by filing date | put |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 90,000 | $6,000 | thousands by filing date | put |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 82,600 | $6,000 | thousands by filing date | call |
| IRON MTN INC DEL COM | 46284V101 | REIT | 3,600 | $6,000 | thousands by filing date | put |
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 |