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 |
|---|---|---|---|---|---|---|
| ELASTIC N V ORD SHS | N14506104 | Stock | 15,200 | $6,000 | thousands by filing date | put |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 37,500 | $6,000 | thousands by filing date | put |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 182,500 | $6,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 212 | $6,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 10,000 | $6,000 | thousands by filing date | put |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 4,400 | $6,000 | thousands by filing date | put |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 7,630 | $6,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 9,700 | $6,000 | thousands by filing date | put |
| CATHAY GEN BANCORP | 149150104 | COM | 70,000 | $6,000 | thousands by filing date | put |
| CONTINENTAL RES INC | 212015101 | COM | 43,100 | $6,000 | thousands by filing date | call |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 932 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 102 | $6,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 14,286 | $6,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,003 | $6,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 288 | $6,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 300 | $6,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 239 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 226 | $6,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 4,001 | $6,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 208 | $6,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 6,000 | $6,000 | thousands by filing date | principal |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 2,677 | $6,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 4,000 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 148 | $6,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 733 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 158 | $6,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 1,213 | $6,000 | thousands by filing date | |
| ABRDN ETFS | 003261104 | BBRG ALL COMD K1 | 229 | $5,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 80,000 | $5,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 74 | $5,000 | thousands by filing date | put |
| NOVA LTD COM | M7516K103 | Stock | 134 | $5,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 900 | $5,000 | thousands by filing date | call |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 417 | $5,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 31,800 | $5,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 3,779 | $5,000 | thousands by filing date | put |
| ADECOAGRO S A | L00849106 | COM | 610 | $5,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 30,200 | $5,000 | thousands by filing date | put |
| MARATHON OIL CORP | 565849106 | COM | 75,800 | $5,000 | thousands by filing date | call |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 235 | $5,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 12,100 | $5,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 51 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 200 | $5,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 290 | $5,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 615 | $5,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 20,000 | $5,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 1,350 | $5,000 | thousands by filing date | |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 300 | $5,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 390 | $5,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 902 | $5,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 801 | $5,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,321 | $5,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 5,651 | $5,000 | thousands by filing date | |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 5,000 | $5,000 | thousands by filing date | principal |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 7,353 | $5,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 2,000 | $5,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 1,667 | $5,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 622 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 131 | $5,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 266 | $5,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 15,087 | $5,000 | thousands by filing date | |
| DIAMOND EAGLE ACQUISITION CO | 25258L109 | COM CL A | 500 | $5,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 1,086 | $4,000 | thousands by filing date | put |
| Vanguard Total World Stock ETF | 922042742 | SHS | 2,900 | $4,000 | thousands by filing date | put |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 103,300 | $4,000 | thousands by filing date | put |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 300 | $4,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 400 | $4,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 549 | $4,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 871 | $4,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 206 | $4,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 1,500 | $4,000 | thousands by filing date | put |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 883 | $4,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 831 | $4,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 1,000 | $4,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 200 | $4,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 47,200 | $4,000 | thousands by filing date | put |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 40,000 | $4,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 327,000 | $4,000 | thousands by filing date | call |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 251 | $4,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 791 | $4,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $4,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 22,800 | $4,000 | thousands by filing date | call |
| CROWN CRAFTS INC | 228309100 | COM | 601 | $4,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 1,556 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 194 | $4,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 773 | $4,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 392 | $4,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 2,589 | $4,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,230 | $4,000 | thousands by filing date | |
| GCI LIBERTY INC COM CLASS A | 36164V305 | Stock | 18,300 | $4,000 | thousands by filing date | put |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 900 | $4,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 12,371 | $4,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 700 | $4,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 1,794 | $4,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 1,900 | $4,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 151 | $4,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 2,642 | $4,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 200 | $4,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,317 | $4,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 4,000 | $4,000 | thousands by filing date | principal |
| CME Group Inc. Class A | 12572Q105 | COM | 10,000 | $3,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 2,300 | $3,000 | thousands by filing date | put |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 56 | $3,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 15 | $3,000 | thousands by filing date | put |
| NextEra Energy,Inc. | 65339F101 | COM | 14 | $3,000 | thousands by filing date | put |
| NIKE,Inc. Class B | 654106103 | COM | 22,320 | $3,000 | thousands by filing date | put |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 95 | $3,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 30,000 | $3,000 | thousands by filing date | call |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 7,500 | $3,000 | thousands by filing date | call |
| BORGWARNER INC COM | 099724106 | Stock | 2,500 | $3,000 | thousands by filing date | put |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 1,200 | $3,000 | thousands by filing date | put |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 20,000 | $3,000 | thousands by filing date | put |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 10,000 | $3,000 | thousands by filing date | put |
| FASTENAL CO COM | 311900104 | Stock | 72,000 | $3,000 | thousands by filing date | put |
| GENERAL MILLS INC COM | 370334104 | Stock | 1,600 | $3,000 | thousands by filing date | put |
| HP INC COM | 40434L105 | Stock | 40,000 | $3,000 | thousands by filing date | call |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 20,000 | $3,000 | thousands by filing date | call |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 397,300 | $3,000 | thousands by filing date | put |
| LIMBACH HLDGS INC | 53263P105 | COM | 700 | $3,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 83,900 | $3,000 | thousands by filing date | put |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 800 | $3,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,001 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33737K205 | INDXX NEXTG ETF | 60 | $3,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 1,000 | $3,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 123 | $3,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 1,000 | $3,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 4,000 | $3,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 255 | $3,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 85 | $3,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 132 | $3,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 202 | $3,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 2,491 | $3,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 642 | $3,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 2,000 | $3,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 500 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 200 | $3,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 400 | $3,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 248 | $3,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 913 | $3,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 3,061 | $3,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 1,563 | $3,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 299 | $3,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 5,055 | $3,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 3,132 | $3,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 7,000 | $3,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 14,600 | $3,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 810 | $3,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 25,000 | $2,000 | thousands by filing date | put |
| Starbucks Corporation | 855244109 | COM | 700 | $2,000 | thousands by filing date | put |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 1,200 | $2,000 | thousands by filing date | put |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 4,600 | $2,000 | thousands by filing date | put |
| Vanguard Real Estate | 922908553 | SHS | 34 | $2,000 | thousands by filing date | put |
| Walmart Inc. | 931142103 | COM | 31,600 | $2,000 | thousands by filing date | put |
| XCELENERGY INC | 98389B100 | COM | 28 | $2,000 | thousands by filing date | put |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 800 | $2,000 | thousands by filing date | put |
| DOW HLDGS INC COM | 260557103 | Stock | 10,000 | $2,000 | thousands by filing date | call |
| SUZANO S A SPON ADS | 86959K105 | ADR | 228 | $2,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 5,000 | $2,000 | thousands by filing date | call |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 400 | $2,000 | thousands by filing date | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 7,000 | $2,000 | thousands by filing date | call |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 300,000 | $2,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 3,400 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 84 | $2,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 20,800 | $2,000 | thousands by filing date | put |
| BLINK CHARGING CO | 09354A100 | COM | 1,000 | $2,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 32 | $2,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 1,000 | $2,000 | thousands by filing date | call |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 1,400 | $2,000 | thousands by filing date | call |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 505 | $2,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 14,407 | $2,000 | thousands by filing date | put |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 500 | $2,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 72 | $2,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 1,061 | $2,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 76 | $2,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 51 | $2,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 53 | $2,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 333,300 | $2,000 | thousands by filing date | put |
| AMERISERV FINL INC | 03074A102 | COM | 463 | $2,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 3 | $2,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 203 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 50 | $2,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 1,510 | $2,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 7,658 | $2,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 31 | $2,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 400 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 60 | $2,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 2,000 | $2,000 | thousands by filing date | principal |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 137 | $2,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 152 | $2,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 2,000 | $2,000 | thousands by filing date | |
| PLUS THERAPEUTICS INC | 72941H400 | COM | 1,001 | $2,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 407 | $2,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,000 | $2,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 1,806 | $2,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 950 | $2,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 5,775 | $2,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 1,000 | $2,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 82 | $2,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 212 | $2,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,900 | $2,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 600 | $2,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 508 | $2,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 714 | $2,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 750 | $2,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 1,284 | $2,000 | thousands by filing date | |
| ALTERITY THERAPEUTICS LTD | 02155X106 | SPONSORED ADR | 2,500 | $2,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L201 | SUSTNBLE INTL | 79 | $2,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 10,000 | $2,000 | thousands by filing date | put |
| MONGODB INC | 60937PAB2 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 318 | $2,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 2,117 | $2,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 435 | $2,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 400 | $2,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 5,000 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 50 | $2,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 150 | $2,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 500 | $2,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 15,384 | $2,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 82 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 75 | $2,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 1,000 | $2,000 | thousands by filing date | principal |
| ENVISION SOLAR INTL INC | 29413Q201 | COM | 400 | $2,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 350 | $1,000 | thousands by filing date | put |
| AbbVie,Inc. | 00287Y109 | COM | 24,200 | $1,000 | thousands by filing date | put |
| Coca-Cola Company | 191216100 | COM | 25 | $1,000 | thousands by filing date | put |
| Procter & Gamble Co | 742718109 | COM | 72,600 | $1,000 | thousands by filing date | call |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 50,000 | $1,000 | thousands by filing date | put |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 400 | $1,000 | thousands by filing date | put |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 300 | $1,000 | thousands by filing date | put |
| Waste Management, Inc. | 94106L109 | COM | 30,000 | $1,000 | thousands by filing date | call |
| CLOROX CO DEL | 189054109 | COM | 118 | $1,000 | thousands by filing date | put |
| SYNCHRONYFINL | 87165B103 | STOK | 21,600 | $1,000 | thousands by filing date | call |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 1,000 | $1,000 | thousands by filing date | put |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 500 | $1,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 4,600 | $1,000 | thousands by filing date | put |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 12,500 | $1,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 1,464 | $1,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 5,000 | $1,000 | thousands by filing date | call |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 8,500 | $1,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 222,100 | $1,000 | thousands by filing date | put |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 36,900 | $1,000 | thousands by filing date | put |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 17 | $1,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 132 | $1,000 | thousands by filing date | put |
| CENTENE CORP DEL COM | 15135B101 | Stock | 1,000 | $1,000 | thousands by filing date | put |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 49,200 | $1,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 50,000 | $1,000 | thousands by filing date | call |
| EBAY INC. COM | 278642103 | Stock | 40,000 | $1,000 | thousands by filing date | put |
| DOLLAR GEN CORP COM | 256677105 | Stock | 10,000 | $1,000 | thousands by filing date | put |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 19,400 | $1,000 | thousands by filing date | call |
| GAP INC COM | 364760108 | Stock | 10,600 | $1,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 1,000 | $1,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 1,000 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 2,000 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 50,000 | $1,000 | thousands by filing date | put |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 46 | $1,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 16,700 | $1,000 | thousands by filing date | put |
| EVOLUS INC | 30052C107 | COM | 60,600 | $1,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 29,000 | $1,000 | thousands by filing date | put |
| CERNER CORP | 156782104 | COM | 1,500 | $1,000 | thousands by filing date | call |
| CONTINENTAL RES INC | 212015101 | COM | 22,900 | $1,000 | thousands by filing date | put |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 37,500 | $1,000 | thousands by filing date | put |
| L BRANDS INC | 501797104 | COM | 30,000 | $1,000 | thousands by filing date | put |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 1,344 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 26 | $1,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 101 | $1,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 229 | $1,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 733 | $1,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 348 | $1,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 35 | $1,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 100 | $1,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 425 | $1,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 500 | $1,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 200 | $1,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 60 | $1,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 1,768 | $1,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 1,576 | $1,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,667 | $1,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 300 | $1,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 1,000 | $1,000 | thousands by filing date | put |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 1,200 | $1,000 | thousands by filing date | put |
| AQUA METALS INC | 03837J101 | COM | 1,100 | $1,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 500 | $1,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 1,500 | $1,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 42 | $1,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 1,630 | $1,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 200 | $1,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 32 | $1,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 837 | $1,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 549 | $1,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 1,300 | $1,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 1,000 | $1,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 36 | $1,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 267 | $1,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 2,630 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 40 | $1,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 865 | $1,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 800 | $1,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 39,000 | $1,000 | thousands by filing date | call |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 110 | $1,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 579 | $1,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 50,500 | $1,000 | thousands by filing date | put |
| NUCANA PLC | 67022C106 | ADR | 100 | $1,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 1,881 | $1,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 684 | $1,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 500 | $1,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 189 | $1,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 1,000 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 100 | $1,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 437 | $1,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 300 | $1,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 500 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 43 | $1,000 | thousands by filing date | |
| VALERITAS HOLDINGS INC | 91914N301 | COM | 1,000 | $1,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 10 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BLACKSTONE INC | 09260D107 | COM | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Chevron Corporation | 166764100 | COM | 4 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Danaher Corporation | 235851102 | COM | 600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FISERV INC | 337738108 | COM | 10,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Honeywell Technologies | 438516106 | COM | 50,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 1,600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| iShares ESG Aware US Aggregate Bond ETF | 46435U549 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| iShares Future AI & Tech ETF | 46435U556 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| iShares Trust iShares USD Green Bond ETF | 46435U440 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Johnson & Johnson | 478160104 | COM | 210 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| KLA CORP | 482480100 | COM | 3,200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Merck & Co.,Inc. | 58933Y105 | COM | 20,400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| S&P Global,Inc. | 78409V104 | COM | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ServiceNow,Inc. | 81762P102 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Southern Company | 842587107 | COM | 900 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Stryker Corporation | 863667101 | COM | 6,800 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| UnitedHealth Group Inc | 91324P102 | COM | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Vanguard ESG U.S. Stock ETF | 921910733 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Vanguard U.S. Momentum Factor ETF | 921935508 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Visa Inc | 92826C839 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BECTON DICKINSON & CO | 075887109 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| GENERAL ELEC CO | 369604103 | COM | 7,900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASEYS GEN STORES INC | 147528103 | COM | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EMERSON ELEC CO COM | 291011104 | Stock | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FORD MTR CO COM | 345370860 | Stock | 11,100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 4,300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 36,600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 300,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| TIMOTHY PLAN US LARGE/MID CAP CORE ETF | 887432359 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 900 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| AUTODESK INC COM | 052769106 | Stock | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 30,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| DEXCOM INC COM | 252131107 | Stock | 21,700 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| AGNC INVT CORP COM | 00123Q104 | REIT | 1,200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 100,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| HP INC COM | 40434L105 | Stock | 50,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DENISON MINES CORP | 248356107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 403 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| EURODRY LTD | Y23508107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FIRST TR EXCH TRADED FD III | 33739P301 | MUNI HI INCM ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189H102 | DURABLE HGH DIV | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435U218 | ESG MSCI LEADR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| NUSHARES ETF TR | 67092P300 | NUVEEN ESG LRGVL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 305 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FIRST TR EXCH TRADED FD III | 33739P830 | SHRT DUR MNG MUN | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RIOT PLATFORMS INC | 767292105 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNDER ARMOUR INC | 904311107 | CL A | 4,600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY HIGH YIELD FACTOR ETF | 316092618 | HIGH YILD ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IHS MARKIT LTD | G47567105 | SHS | 800 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NORDSTROM INC | 655664100 | COM | 10,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CERNER CORP | 156782104 | COM | 1,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 3,100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 140 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GARRISON CAP INC | 366554103 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CAPITALA FIN CORP | 14054R106 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| USCF SUMMERHAVEN DYNAMIC COMMODITY STRATEGY NO K-1 FUND | 90290T809 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES U S ETF TR | 46431W648 | U.S. TECH INDEPD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCH TRD SLF IDX FD | 46138J742 | RAFI STRATGIC US | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ANAPTYSBIO INC | 032724106 | COM | 50,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 151 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KOPIN CORP | 500600101 | COMMON STOCK | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIMOTHY PLAN | 887432326 | HIG DV STK ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN LTS FD TR IV | 66538H658 | INSPIRE GBL HOPE | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PACER FDS TR | 69374H634 | AMERICAN ENERGY | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25460E307 | AUSPCE CMD STG | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCH TRADED FD TR II | 46138J676 | BULLETSHS 2026 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARK RESTAURANTS CORP | 040712101 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Hartford Municipal Opportnits ETF | 41653L503 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092717 | INT VL FCT ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FRANKLIN FTSE CHINA ETF | 35473P819 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25460E869 | DAILY 500 1X ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JOHN HANCOCK EXCHANGE TRADED | 47804J859 | MULTI INTL ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KEY TRONIC CORP | 493144109 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78468R655 | SP KENSHO CLEAN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCH TRADED FD TR II | 46138G888 | SHORT TERM ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |