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 |
|---|---|---|---|---|---|---|
| CARA THERAPEUTICS INC | 140755109 | COM | 101,877 | $1,641,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 112,304 | $1,639,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 217,800 | $1,636,000 | thousands by filing date | call |
| PEOPLES BANCORP INC | 709789101 | COM | 47,174 | $1,636,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 96,892 | $1,635,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 60,234 | $1,629,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 101,086 | $1,627,000 | thousands by filing date | |
| MEDALLIA INC | 584021109 | COM | 52,275 | $1,626,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 108,668 | $1,621,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 79,993 | $1,620,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 156,853 | $1,620,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 1,563,000 | $1,620,000 | thousands by filing date | principal |
| DRIVE SHACK INC | 262077100 | COM | 441,939 | $1,617,000 | thousands by filing date | |
| PENNANT GROUP INC | 70805E109 | COM | 48,883 | $1,616,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 104,172 | $1,616,000 | thousands by filing date | |
| NEXTGEN HEALTHCARE INC | 65343C102 | COMMON STOCK | 100,411 | $1,613,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 114,369 | $1,612,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 187,799 | $1,612,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 565,251 | $1,610,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 51,120 | $1,610,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 139,790 | $1,609,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 112,148 | $1,609,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 208,833 | $1,608,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 41,720 | $1,604,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 72,250 | $1,600,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 51,421 | $1,600,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 1,600,000 | $1,599,000 | thousands by filing date | principal |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 159,351 | $1,597,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 108,862 | $1,595,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 179,166 | $1,593,000 | thousands by filing date | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 93,899 | $1,591,000 | thousands by filing date | |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 70,098 | $1,590,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 47,889 | $1,590,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 80,708 | $1,590,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 98,151 | $1,585,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 122,427 | $1,580,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 18,064 | $1,579,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 202,354 | $1,579,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 1,550,000 | $1,579,000 | thousands by filing date | principal |
| ASTRONICS CORP COM | 046433108 | Stock | 56,415 | $1,576,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 207,869 | $1,576,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 32,256 | $1,564,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 52,833 | $1,562,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 197,895 | $1,562,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 84,838 | $1,560,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 331,300 | $1,558,000 | thousands by filing date | put |
| TELARIA INC | 879181105 | COM | 176,916 | $1,558,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 71,323 | $1,550,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 172,879 | $1,549,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 219,849 | $1,545,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 64,260 | $1,542,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 16,162 | $1,541,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 49,675 | $1,540,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 27,868 | $1,540,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 770,600 | $1,535,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 1,347,600 | $1,534,000 | thousands by filing date | put |
| ISHARES TR | 46435G243 | COM | 60,116 | $1,529,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 73,272 | $1,528,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 92,827 | $1,525,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 96,848 | $1,525,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 1,437,000 | $1,525,000 | thousands by filing date | principal |
| NLIGHT INC | 65487K100 | COM | 75,060 | $1,522,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 135,990 | $1,522,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 29,339 | $1,520,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 49,088 | $1,517,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 46,482 | $1,515,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 26,226 | $1,515,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 300,000 | $1,514,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 30,180 | $1,510,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 89,069 | $1,510,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 142,376 | $1,504,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 35,052 | $1,503,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 645,038 | $1,503,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 22,774 | $1,502,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 27,890 | $1,500,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 20,401 | $1,499,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 51,998 | $1,495,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 1,491,000 | $1,495,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 29,235 | $1,489,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 1,155,000 | $1,489,000 | thousands by filing date | principal |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 63,786 | $1,487,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 802,132 | $1,484,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 456,671 | $1,481,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 1,095,000 | $1,479,000 | thousands by filing date | put |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 112,067 | $1,475,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 55,638 | $1,474,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 32,301 | $1,474,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 69,070 | $1,474,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 183,220 | $1,473,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 88,088 | $1,469,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 89,907 | $1,467,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 53,505 | $1,462,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 99,747 | $1,457,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 71,389 | $1,456,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 240,587 | $1,456,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 35,000 | $1,455,000 | thousands by filing date | call |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 158,975 | $1,455,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 26,081 | $1,454,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 45,714 | $1,452,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 98,688 | $1,443,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 274,068 | $1,436,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 181,021 | $1,433,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 161,709 | $1,432,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 17,145 | $1,431,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 48,909 | $1,424,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 179,844 | $1,422,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 142,208 | $1,421,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 45,055 | $1,419,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 166,999 | $1,416,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 184,775 | $1,414,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 51,627 | $1,411,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 37,324 | $1,410,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 47,368 | $1,409,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 13,082 | $1,403,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 157,234 | $1,399,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 234,483 | $1,398,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 68,893 | $1,395,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 46,140 | $1,391,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 26,828 | $1,390,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 156,525 | $1,390,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 36,949 | $1,390,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 57,659 | $1,389,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 93,108 | $1,389,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 23,453 | $1,388,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 67,839 | $1,386,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 284,000 | $1,385,000 | thousands by filing date | put |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 29,706 | $1,385,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 25,681 | $1,385,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 26,306 | $1,384,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 207,729 | $1,377,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 1,325,000 | $1,377,000 | thousands by filing date | principal |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 34,871 | $1,373,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 88,229 | $1,373,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V753 | FOOD & BEVERAGE | 39,731 | $1,368,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 93,973 | $1,368,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 66,596 | $1,366,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 54,870 | $1,366,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 22,810 | $1,360,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 244,027 | $1,358,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 46,684 | $1,357,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 83,016 | $1,357,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 30,141 | $1,355,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 35,662 | $1,354,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 864,000 | $1,352,000 | thousands by filing date | principal |
| iShares iBonds Dec. 2027 Municipal Bond ETF | 46435U283 | ETF | 51,911 | $1,351,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 176,048 | $1,351,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 148,000 | $1,350,000 | thousands by filing date | principal |
| EOG RES INC COM | 26875P101 | Stock | 261,100 | $1,349,000 | thousands by filing date | put |
| TPI Composites Inc | 87266J104 | Common Stock | 72,844 | $1,348,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 56,918 | $1,345,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 100,222 | $1,344,000 | thousands by filing date | |
| ALLIANZGI ARTIFICIAL INTELLI | 01883M101 | COM | 66,839 | $1,343,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 65,677 | $1,342,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374AB0 | Convertible Bond | 2,000,000 | $1,342,000 | thousands by filing date | principal |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 90,919 | $1,340,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 29,514 | $1,336,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 11,214 | $1,335,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 24,102 | $1,334,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 81,551 | $1,332,000 | thousands by filing date | |
| AXONICS INC | 05465P101 | COM | 48,025 | $1,331,000 | thousands by filing date | |
| ORIGIN BANCORP INC | 68621T102 | COMMON STOCK | 35,096 | $1,329,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 41,489 | $1,326,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 70,001 | $1,320,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 132,600 | $1,318,000 | thousands by filing date | call |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 104,710 | $1,318,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 92,557 | $1,318,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 26,862 | $1,308,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 123,264 | $1,307,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 78,347 | $1,307,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 55,455 | $1,305,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 28,589 | $1,305,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 65,609 | $1,305,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 63,099 | $1,305,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 442,100 | $1,302,000 | thousands by filing date | call |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 62,338 | $1,302,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 63,185 | $1,301,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 115,000 | $1,300,000 | thousands by filing date | call |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 33,469 | $1,300,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 13,539 | $1,297,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 2,382,536 | $1,296,000 | thousands by filing date | put |
| TREDEGAR CORP | 894650100 | COM | 57,809 | $1,292,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 30,752 | $1,292,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 47,423 | $1,290,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 94,503 | $1,288,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 28,165 | $1,288,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 515,156 | $1,288,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 9,652 | $1,287,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 12,900 | $1,286,000 | thousands by filing date | call |
| PEOPLES UTAH BANCORP | 712706209 | COM | 42,721 | $1,286,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 965,000 | $1,281,000 | thousands by filing date | principal |
| SmileDirectClub Inc | 83192H106 | COM | 146,555 | $1,280,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 26,100 | $1,279,000 | thousands by filing date | |
| SAFEHOLD INC | 78645L100 | COM | 31,710 | $1,278,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 21,008 | $1,278,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 201,843 | $1,276,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 14,531 | $1,273,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 964,300 | $1,269,000 | thousands by filing date | call |
| MICHAELS COS INC | 59408Q106 | COM | 156,764 | $1,268,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 19,690 | $1,267,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 26,150 | $1,266,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 48,482 | $1,265,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 39,486 | $1,263,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 73,642 | $1,261,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 24,991 | $1,258,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 35,421 | $1,258,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Municipal Bond ETF | 46435U325 | ETF | 48,091 | $1,257,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 89,148 | $1,256,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 33,461 | $1,255,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 41,197 | $1,252,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 258,094 | $1,251,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 71,447 | $1,250,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 215,430 | $1,249,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 30,357 | $1,236,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 6,228 | $1,235,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 60,254 | $1,234,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 93,823 | $1,234,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 61,763 | $1,233,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 64,749 | $1,233,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 29,154 | $1,233,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 44,836 | $1,232,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 67,168 | $1,231,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 97,431 | $1,228,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 54,698 | $1,224,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 26,092 | $1,221,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 51,863 | $1,219,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 26,013 | $1,218,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 31,375 | $1,215,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 81,571 | $1,213,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 66,956 | $1,208,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 261,405 | $1,208,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 41,942 | $1,204,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 40,696 | $1,202,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 35,357 | $1,197,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 106,534 | $1,196,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 84,327 | $1,195,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 37,253 | $1,195,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 47,352 | $1,188,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 97,812 | $1,187,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 31,309 | $1,187,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 50,044 | $1,187,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 152,071 | $1,186,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 106,700 | $1,185,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 34,158 | $1,183,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 46,499 | $1,179,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 61,425 | $1,177,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 1,526,700 | $1,176,000 | thousands by filing date | call |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 71,182 | $1,172,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 88,141 | $1,171,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 54,201 | $1,171,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 35,771 | $1,170,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 26,633 | $1,169,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 126,682 | $1,169,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 78,479 | $1,169,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 548,400 | $1,167,000 | thousands by filing date | put |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 56,504 | $1,166,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 31,941 | $1,165,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 12,146 | $1,165,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 58,071 | $1,161,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 126,774 | $1,157,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 16,169 | $1,153,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 187,914 | $1,150,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 684,000 | $1,150,000 | thousands by filing date | principal |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 44,271 | $1,147,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 105,124 | $1,145,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 102,684 | $1,143,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 208,948 | $1,143,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V159 | CMN | 22,580 | $1,141,000 | thousands by filing date | |
| COUPA SOFTWARE INC | 22266LAB2 | NOTE 0.375% 1/1 | 346,000 | $1,136,000 | thousands by filing date | principal |
| HYSTER-YALE INC | 449172105 | CL A | 19,237 | $1,134,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 44,619 | $1,133,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 36,579 | $1,131,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 146,599 | $1,128,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 77,124 | $1,128,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 97,669 | $1,124,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 82,884 | $1,118,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 42,809 | $1,118,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 30,762 | $1,117,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 53,920 | $1,117,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 32,534 | $1,117,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 117,941 | $1,116,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 48,814 | $1,114,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 45,073 | $1,114,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 30,708 | $1,113,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 41,454 | $1,111,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 109,808 | $1,111,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 51,088 | $1,110,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 18,886 | $1,109,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N865 | CMN | 21,916 | $1,109,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 52,473 | $1,108,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 46,849 | $1,108,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 94,978 | $1,107,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 66,740 | $1,107,000 | thousands by filing date | |
| BILL HOLDINGS INC | 090043100 | COM | 29,049 | $1,106,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 33,497 | $1,106,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,094,000 | $1,103,000 | thousands by filing date | principal |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 37,484 | $1,098,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 17,448 | $1,098,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 26,516 | $1,098,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 1,675,000 | $1,096,000 | thousands by filing date | put |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 173,284 | $1,096,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 52,199 | $1,095,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 19,779 | $1,095,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 54,026 | $1,093,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V712 | BLOO MVP MUL ETF | 11,046 | $1,093,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 28,695 | $1,089,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 62,097 | $1,087,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 969,376 | $1,086,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 47,132 | $1,085,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 103,635 | $1,085,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 47,674 | $1,084,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 177,326 | $1,078,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 16,886 | $1,077,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 32,114 | $1,077,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 56,259 | $1,076,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 77,729 | $1,075,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 58,517 | $1,074,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 20,745 | $1,071,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 222,420 | $1,069,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 442,000 | $1,068,000 | thousands by filing date | principal |
| AIR T INC | 009207101 | COM | 52,919 | $1,066,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 55,955 | $1,064,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 24,779 | $1,061,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 62,391 | $1,058,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 60,819 | $1,058,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 47,210 | $1,056,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 195,084 | $1,055,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 716,385 | $1,053,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 976,000 | $1,052,000 | thousands by filing date | principal |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 11,672 | $1,050,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 1,164,000 | $1,049,000 | thousands by filing date | principal |
| Cisco Systems,Inc. | 17275R102 | COM | 1,684,900 | $1,047,000 | thousands by filing date | put |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 73,574 | $1,045,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 84,662 | $1,045,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 1,000,000 | $1,045,000 | thousands by filing date | principal |
| AT&T Inc | 00206R102 | COM | 1,595,700 | $1,044,000 | thousands by filing date | put |
| Viewra, Inc | 92672L107 | COM | 247,512 | $1,044,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 720,507 | $1,042,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 12,013 | $1,038,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 64,099 | $1,037,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 223,385 | $1,037,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 136,412 | $1,036,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 16,629 | $1,034,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 87,005 | $1,034,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 78,148 | $1,031,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 41,868 | $1,030,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 184,900 | $1,027,000 | thousands by filing date | call |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 99,049 | $1,027,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 43,864 | $1,027,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 104,501 | $1,023,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 53,680 | $1,021,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 156,291 | $1,021,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 21,537 | $1,016,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 59,465 | $1,013,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 82,286 | $1,012,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 16,396 | $1,011,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 59,901 | $1,010,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 72,092 | $1,010,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 969,000 | $1,007,000 | thousands by filing date | principal |
| AMERICAN VANGUARD CORP | 030371108 | COM | 51,462 | $1,003,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 198,500 | $996,000 | thousands by filing date | call |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 1,040,000 | $996,000 | thousands by filing date | principal |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 107,257 | $995,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 23,846 | $992,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 36,108 | $991,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 31,539 | $991,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 35,310 | $986,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 179,794 | $985,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 10,779 | $983,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 115,470 | $983,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 50,819 | $980,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 29,575 | $980,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 12,207 | $979,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 31,205 | $978,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 15,265 | $977,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 72,567 | $977,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 111,263 | $975,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 35,762 | $974,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 79,355 | $973,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 37,363 | $970,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 32,303 | $968,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 88,407 | $968,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 110,417 | $966,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 244,001 | $963,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 27,994 | $961,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 20,765 | $961,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 351,900 | $960,000 | thousands by filing date | put |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 16,730 | $959,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 100,059 | $959,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 2,540,800 | $958,000 | thousands by filing date | put |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 31,387 | $957,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 35,652 | $956,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 788,000 | $956,000 | thousands by filing date | principal |
| Golden Entertainment Inc | 381013101 | Common Stock | 49,460 | $951,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 59,590 | $951,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 47,030 | $948,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 18,812 | $947,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 31,900 | $941,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 62,442 | $940,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 18,800 | $939,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 11,843 | $938,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 13,913 | $934,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 60,929 | $934,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 30,199 | $933,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 324,955 | $933,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 171,323 | $932,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 27,278 | $932,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 43,427 | $931,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 126,658 | $931,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 55,855 | $931,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 83,356 | $928,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B102 | GOLD MINERS ETF | 36,836 | $927,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 161,826 | $924,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 52,111 | $923,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 40,700 | $919,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 327,621 | $914,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 18,136 | $913,000 | thousands by filing date | |
| HELIOS TECHNOLOGIES INC | 42328H109 | COM | 19,689 | $910,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 67,077 | $908,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 495,600 | $908,000 | thousands by filing date | put |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 61,870 | $907,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 92,906 | $907,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 81,121 | $905,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 97,347 | $905,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 110,222 | $905,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 50,354 | $903,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 29,749 | $902,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 76,692 | $901,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 147,815 | $900,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 81,935 | $899,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 45,580 | $898,000 | thousands by filing date | |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 6,944 | $894,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 40,535 | $892,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 93,224 | $892,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 15,587 | $889,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 28,151 | $888,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 22,436 | $888,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 75,934 | $887,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 64,944 | $886,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 51,280 | $884,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 103,549 | $881,000 | thousands by filing date | |
| DOCUSIGN INC | 256163AB2 | NOTE 0.500% 9/1 | 707,000 | $879,000 | thousands by filing date | principal |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 26,823 | $879,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 88,626 | $876,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 211,407 | $875,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 15,692 | $872,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 117,017 | $872,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 118,781 | $871,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 35,965 | $869,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 113,273 | $867,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 124,665 | $867,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 51,242 | $866,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 141,101 | $865,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229AE2 | DEB 2.250% 9/3 | 1,516,000 | $865,000 | thousands by filing date | principal |
| META PLATFORMS INC CL A | 30303M102 | COM | 178,900 | $863,000 | thousands by filing date | call |
| FERRO CORP | 315405100 | COM | 57,992 | $860,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 60,499 | $859,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 375,150 | $859,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 36,369 | $858,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 31,621 | $858,000 | thousands by filing date | |
| PALOMAR HLDGS INC COM | 69753M105 | Stock | 16,959 | $857,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 76,216 | $857,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 32,550 | $857,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 176,368 | $857,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 632,000 | $853,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 20,221 | $851,000 | thousands by filing date | |
| EZCORP INC | 302301AF3 | NOTE2.875% 7/0 | 900,000 | $851,000 | thousands by filing date | principal |
| JPMorgan Chase & Co | 46625H100 | COM | 63,900 | $850,000 | thousands by filing date | call |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 51,730 | $849,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V191 | S&P MDCP400 VL | 12,283 | $847,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 64,769 | $847,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 81,168 | $846,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 687,100 | $845,000 | thousands by filing date | call |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 33,850 | $844,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 371,739 | $843,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 25,017 | $842,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 42,085 | $841,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 43,609 | $841,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 24,533 | $841,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 178,888 | $841,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 99,091 | $839,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 220,491 | $839,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 21,396 | $838,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 33,535 | $837,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 219,632 | $837,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 40,936 | $837,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 60,655 | $836,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 82,717 | $836,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 20,232 | $836,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 49,074 | $830,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 58,369 | $829,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 212,747 | $826,000 | thousands by filing date | |
| TWIN RIV WORLDWIDE HLDGS INC | 90171V204 | COM | 32,183 | $825,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 58,408 | $822,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 39,037 | $822,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 15,040 | $820,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 312,775 | $820,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 36,262 | $818,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 61,770 | $815,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 32,517 | $815,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 20,588 | $814,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-20-000209 | this filing | 2020-02-14 | acceptance time not in the bulk data set |