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 |
|---|---|---|---|---|---|---|
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 22,846 | $808,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 46,074 | $808,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 161,250 | $807,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 5,779 | $806,000 | thousands by filing date | |
| INVESCO EXCHANGETRADED FD T DWA TACTCL SCT | 46138E826 | CEF | 24,576 | $806,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 100,100 | $803,000 | thousands by filing date | call |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 800,000 | $803,000 | thousands by filing date | principal |
| AMERANT BANCORP INC | 023576101 | COMMON STOCK | 36,793 | $802,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 34,870 | $796,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 170,397 | $796,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 156,146 | $795,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 65,842 | $793,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 28,168 | $793,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 52,336 | $793,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 38,546 | $792,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 17,932 | $792,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 59,026 | $791,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 62,046 | $790,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 25,424 | $788,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 52,957 | $788,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 28,759 | $787,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 41,270 | $784,000 | thousands by filing date | |
| BANK FIRST CORP | 06211J100 | COM | 11,199 | $784,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 54,481 | $784,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 555,181 | $783,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 30,811 | $782,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 10,317 | $782,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 29,302 | $782,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 21,542 | $781,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 71,549 | $779,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 29,948 | $777,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 35,202 | $776,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 120,975 | $774,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 30,230 | $774,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 43,351 | $773,000 | thousands by filing date | |
| INMODE LTD SHS | M5425M103 | Stock | 19,671 | $771,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 29,556 | $771,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 73,874 | $770,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 72,043 | $770,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 28,264 | $768,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 115,197 | $767,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 21,151 | $766,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 13,649 | $766,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 7,198 | $765,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 13,893 | $765,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 41,500 | $764,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 32,880 | $762,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 75,139 | $761,000 | thousands by filing date | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 39,705 | $759,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 2,071,930 | $758,000 | thousands by filing date | put |
| MESABI TR | 590672101 | CTF BEN INT | 32,200 | $758,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 46,926 | $756,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 47,995 | $756,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 314,300 | $755,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 41,556 | $755,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 43,522 | $754,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 56,895 | $753,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 55,799 | $752,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 85,802 | $751,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 91,566 | $750,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 61,208 | $746,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 157,964 | $746,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 61,591 | $744,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 770,000 | $743,000 | thousands by filing date | principal |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 43,675 | $742,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 38,328 | $742,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 129,400 | $739,000 | thousands by filing date | call |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 65,800 | $739,000 | thousands by filing date | call |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 28,751 | $738,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 91,819 | $738,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 71,944 | $736,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 57,132 | $735,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 60,374 | $735,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 125,523 | $734,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 53,367 | $733,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 282,200 | $733,000 | thousands by filing date | put |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 31,638 | $731,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 141,204 | $730,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 277,469 | $730,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 44,902 | $728,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 18,784 | $728,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 61,391 | $727,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 46,542 | $726,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 69,336 | $726,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 6,723 | $725,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 44,349 | $724,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 39,113 | $723,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 88,437 | $722,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 32,363 | $721,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 12,560 | $721,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 73,683 | $720,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 20,001 | $720,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 171,571 | $718,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 41,807 | $716,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 22,424 | $716,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 32,946 | $714,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 89,225 | $712,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 33,612 | $712,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 49,696 | $712,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 50,758 | $710,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 261,274 | $709,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 850,000 | $709,000 | thousands by filing date | principal |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 5,476 | $708,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 62,010 | $708,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 20,303 | $703,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 45,656 | $703,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 166,500 | $703,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 36,040 | $701,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 465,808 | $700,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 4,218 | $699,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 101,635 | $698,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 325,804 | $698,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 46,096 | $697,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 34,448 | $694,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 31,160 | $694,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 45,925 | $690,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 379,600 | $687,000 | thousands by filing date | put |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 677,000 | $685,000 | thousands by filing date | principal |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 52,300 | $684,000 | thousands by filing date | call |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 45,162 | $683,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 124,157 | $683,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 85,010 | $680,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 22,637 | $679,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 26,731 | $677,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 35,015 | $676,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 24,063 | $676,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 20,177 | $676,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 20,200 | $674,000 | thousands by filing date | |
| HELLO GROUP INC | 60879BAB3 | NOTE 1.250% 7/0 | 731,000 | $673,000 | thousands by filing date | principal |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 16,206 | $672,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 23,806 | $672,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 589,000 | $672,000 | thousands by filing date | principal |
| TELLURIAN INC NEW | 87968A104 | COM | 92,120 | $671,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 21,108 | $670,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 140,804 | $668,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 40,120 | $667,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 84,611 | $666,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 38,792 | $666,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 20,024 | $664,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 97,927 | $664,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 172,314 | $662,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 21,910 | $661,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 120,913 | $660,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 25,169 | $659,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 15,639 | $658,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 354,756 | $658,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 101,916 | $656,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 52,910 | $655,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 92,735 | $654,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 42,813 | $653,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 27,458 | $652,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 49,225 | $651,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 59,273 | $651,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 66,423 | $649,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 60,000 | $647,000 | thousands by filing date | call |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 49,963 | $646,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 104,965 | $646,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 23,861 | $646,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 27,400 | $645,000 | thousands by filing date | call |
| Mallinckrodt Plc | G5785G107 | SHS | 184,667 | $645,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 38,482 | $645,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 44,200 | $642,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 17,959 | $642,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 378,500 | $641,000 | thousands by filing date | put |
| UNIFI INC | 904677200 | COM NEW | 25,332 | $640,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 22,588 | $639,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 25,355 | $639,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 19,274 | $636,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 52,403 | $636,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 68,286 | $635,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 25,468 | $635,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 30,512 | $634,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 6,247 | $634,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 31,531 | $633,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 20,110 | $633,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 145,145 | $632,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 36,452 | $631,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 41,523 | $631,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 53,254 | $631,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 51,437 | $630,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 28,750 | $630,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 21,761 | $629,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 247,984 | $628,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 307,400 | $627,000 | thousands by filing date | put |
| COHU INC | 192576106 | COM | 27,429 | $626,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 37,261 | $626,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 133,700 | $625,000 | thousands by filing date | call |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 18,763 | $625,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 2,973 | $625,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 125,710 | $625,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 51,306 | $624,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 179,255 | $624,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 58,905 | $623,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 245,142 | $623,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 43,435 | $621,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 116,200 | $619,000 | thousands by filing date | put |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 11,874 | $619,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 54,686 | $618,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 72,910 | $617,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 248,605 | $617,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 115,390 | $616,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 910,080 | $615,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 153,600 | $614,000 | thousands by filing date | put |
| TAILORED BRANDS INC | 87403A107 | COM | 148,222 | $614,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 41,466 | $613,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 26,456 | $613,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 16,094 | $612,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 555,300 | $611,000 | thousands by filing date | put |
| INTELSAT S A | L5140P101 | COM | 40,600 | $608,000 | thousands by filing date | put |
| CLARUS CORP NEW | 18270P109 | COM | 44,713 | $607,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 39,865 | $607,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 124,640 | $607,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 30,472 | $605,000 | thousands by filing date | |
| FRANKLIN LIBERTY HIGH YIELD | 35473P629 | LIBERTY HI YLD | 23,076 | $604,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 66,848 | $604,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 55,900 | $603,000 | thousands by filing date | call |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 43,761 | $603,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 28,873 | $603,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 22,062 | $603,000 | thousands by filing date | |
| ALTERYX INC | 02156BAB9 | CONV BD US | 260,000 | $603,000 | thousands by filing date | principal |
| MARATHON OIL CORP | 565849106 | COM | 600,000 | $602,000 | thousands by filing date | put |
| BLUE BIRD CORP | 095306106 | COM | 26,254 | $602,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 20,510 | $601,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 30,994 | $600,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 675,076 | $600,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 31,094 | $599,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 32,402 | $599,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 3,967 | $598,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 30,724 | $598,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 24,906 | $598,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 30,395 | $598,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 54,308 | $596,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 52,896 | $595,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 22,775 | $594,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 14,777 | $593,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 68,131 | $592,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 581,000 | $591,000 | thousands by filing date | principal |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 25,661 | $590,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 42,914 | $589,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 139,511 | $588,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 189,475 | $587,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 188,992 | $586,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 41,439 | $585,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 50,069 | $584,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 201,281 | $584,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 25,924 | $584,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 18,106 | $583,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 6,165 | $581,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 72,000 | $580,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 25,435 | $580,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 106,970 | $577,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 17,006 | $576,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y888 | SPECTRUM PFD | 5,702 | $574,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 20,112 | $574,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 400,000 | $574,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 7,897 | $573,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 84,942 | $572,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 33,303 | $572,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 10,157 | $572,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 268,400 | $571,000 | thousands by filing date | put |
| CITIZENS INC | 174740100 | COMMON STOCK | 84,605 | $571,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 26,287 | $571,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 17,108 | $570,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 37,764 | $570,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 38,203 | $570,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 71,222 | $569,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 63,832 | $569,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 38,392 | $568,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 14,375 | $566,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 119,600 | $564,000 | thousands by filing date | call |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 15,103 | $564,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 116,273 | $563,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 43,533 | $563,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 575,000 | $562,000 | thousands by filing date | call |
| DAILY JOURNAL CORP | 233912104 | COM | 1,934 | $562,000 | thousands by filing date | |
| WW INTL INC | 98262P101 | COM | 278,000 | $560,000 | thousands by filing date | call |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 77,682 | $559,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 30,742 | $557,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 20,667 | $557,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 19,426 | $556,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 116,337 | $555,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 74,593 | $554,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 13,718 | $553,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 30,514 | $552,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 14,383 | $552,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 61,813 | $552,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 552,000 | $552,000 | thousands by filing date | principal |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 115,515 | $551,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 36,886 | $551,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 18,180 | $550,000 | thousands by filing date | |
| BRP INC COM SUN VTG | 05577W200 | Stock | 12,075 | $549,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 425,356 | $549,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 26,731 | $548,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 69,600 | $548,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 6,478 | $547,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 44,472 | $546,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 28,739 | $543,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 12,072 | $543,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 26,161 | $542,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 18,934 | $541,000 | thousands by filing date | |
| WW INTL INC | 98262P101 | COM | 241,200 | $540,000 | thousands by filing date | put |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 17,210 | $540,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 37,752 | $540,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 14,255 | $538,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U852 | HENDERSON MTG | 10,325 | $537,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 25,106 | $537,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 58,484 | $536,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 15,679 | $535,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 23,306 | $535,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 97,955 | $533,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 31,353 | $533,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 37,153 | $533,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 42,148 | $532,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 116,733 | $532,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 48,057 | $531,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 134,456 | $531,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 60,280 | $530,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 20,623 | $530,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 499,000 | $530,000 | thousands by filing date | principal |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 159,864 | $529,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 10,617 | $529,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 16,108 | $529,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 37,333 | $527,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 26,198 | $527,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 435,000 | $525,000 | thousands by filing date | principal |
| CMB.TECH NV SHS | B38564108 | Stock | 41,719 | $524,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 35,290 | $522,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 81,800 | $521,000 | thousands by filing date | call |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 509,000 | $521,000 | thousands by filing date | principal |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 143,750 | $520,000 | thousands by filing date | |
| GARRETT MOTION INC | 366505105 | COM | 52,086 | $519,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 92,032 | $519,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 17,937 | $518,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 73,695 | $518,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 12,203 | $518,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 81,503 | $517,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 4,444 | $515,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 18,700 | $513,000 | thousands by filing date | call |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 37,242 | $513,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 30,592 | $513,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 18,653 | $512,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G680 | S&P FINCIAL REVE | 6,939 | $512,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 57,205 | $511,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 25,785 | $511,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 121,257 | $511,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 27,713 | $510,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 18,030 | $510,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 20,477 | $510,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 84,506 | $509,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 27,780 | $508,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 47,361 | $508,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 40,814 | $508,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 27,269 | $508,000 | thousands by filing date | |
| PAGERDUTY INC COM | 69553P100 | Stock | 21,660 | $507,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 49,903 | $506,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 118,722 | $506,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 138,462 | $506,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 36,005 | $505,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 36,339 | $505,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 111,415 | $505,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 5,625 | $504,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 7,851 | $503,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 18,937 | $502,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 19,017 | $502,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 43,428 | $502,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 725,000 | $501,000 | thousands by filing date | call |
| Amazon.com, Inc | 023135106 | COM | 36,400 | $500,000 | thousands by filing date | call |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 144,719 | $500,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 400,000 | $500,000 | thousands by filing date | principal |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 5,527 | $499,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 43,333 | $498,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 40,355 | $497,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 17,704 | $497,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 45,799 | $496,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 31,266 | $496,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 991,558 | $496,000 | thousands by filing date | |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 7,322 | $495,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 159,094 | $493,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 491,000 | $493,000 | thousands by filing date | principal |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 21,205 | $492,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 43,411 | $492,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 41,696 | $492,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 7,007 | $492,000 | thousands by filing date | |
| TENABLE HLDGS INC | 88025T102 | COM | 20,492 | $491,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 10,187 | $491,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 20,211 | $491,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 500,000 | $491,000 | thousands by filing date | principal |
| BRIDGEBIO PHARMA INC | 10806X102 | COM | 13,990 | $490,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 56,120 | $490,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 661,100 | $489,000 | thousands by filing date | put |
| QIWI PLC | 74735M108 | SPON ADR REP B | 25,276 | $489,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 61,589 | $488,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 32,932 | $487,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 35,803 | $487,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 38,658 | $487,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 181,553 | $486,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 68,956 | $486,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 143,648 | $485,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 13,642 | $485,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,043,700 | $484,000 | thousands by filing date | put |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 68,632 | $484,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 60,385 | $484,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 35,531 | $484,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 15,108 | $484,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 23,301 | $483,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 23,984 | $483,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 844,000 | $482,000 | thousands by filing date | put |
| SENECA FOODS CORP NEW | 817070501 | CL A | 11,803 | $482,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 40,064 | $482,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 50,441 | $481,000 | thousands by filing date | put |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 28,512 | $481,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 7,665 | $480,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 8,327 | $480,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 97,459 | $479,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 9,220 | $479,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 14,546 | $478,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 52,836 | $478,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 15,403 | $477,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 45,335 | $476,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 12,007 | $476,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 45,404 | $475,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 196,134 | $475,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 173,069 | $473,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 118,085 | $472,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 11,687 | $470,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 25,337 | $469,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 21,152 | $467,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 38,583 | $466,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 3,600 | $465,000 | thousands by filing date | call |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 363,415 | $465,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 84,056 | $465,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 21,432 | $464,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 54,912 | $464,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 77,534 | $464,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 8,614 | $463,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 58,100 | $462,000 | thousands by filing date | put |
| SCORPIO BULKERS INC | Y7546A122 | COM | 72,587 | $462,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 58,851 | $461,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 9,630 | $460,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 12,002 | $459,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 47,142 | $454,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 29,342 | $454,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 28,598 | $453,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 143,450 | $453,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 26,057 | $453,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 24,996 | $453,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 313,000 | $453,000 | thousands by filing date | principal |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 13,942 | $453,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 160,240 | $452,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 9,642 | $452,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 46,103 | $452,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 135,701 | $452,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 58,307 | $450,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 40,916 | $449,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 11,271 | $447,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 11,496 | $447,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 69,276 | $447,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 52,506 | $446,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 7,194 | $445,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 36,513 | $445,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 432,000 | $445,000 | thousands by filing date | principal |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 38,525 | $445,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 14,500 | $443,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 10,371 | $443,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 40,205 | $443,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 11,754 | $443,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 31,766 | $442,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 150,500 | $441,000 | thousands by filing date | put |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 26,523 | $441,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 15,292 | $440,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 51,871 | $440,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 61,864 | $439,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 960,400 | $439,000 | thousands by filing date | put |
| INNERWORKINGS INC | 45773Y105 | COM | 79,737 | $439,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 1,571,500 | $438,000 | thousands by filing date | put |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 165,893 | $438,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 138,336 | $437,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 97,200 | $436,000 | thousands by filing date | put |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 147,644 | $436,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 72,960 | $435,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 11,507 | $435,000 | thousands by filing date | |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 25,542 | $432,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 19,416 | $432,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 7,315 | $431,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 23,657 | $431,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 24,514 | $431,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 150,422 | $430,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 24,618 | $430,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 43,622 | $430,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 30,000 | $428,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 14,792 | $428,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 69,504 | $427,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 31,886 | $427,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,593 | $426,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 25,100 | $425,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 54,689 | $425,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 55,720 | $425,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 16,556 | $422,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 500,000 | $422,000 | thousands by filing date | principal |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 18,356 | $421,000 | 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 |