13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-14, with 7,133 holding rows worth $289,235,500,000.
- Accession
- 0000072971-20-000264
- Filer
- CIK 72971
- Filed
- 2020-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 20,508 entries on the cover page, a total value of $289,235,500,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $289,235,500,000 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 CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPTIAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- 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 |
|---|---|---|---|---|---|---|
| MARINE PRODS CORP | 568427108 | cs | 13,986 | $113,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 18,766 | $113,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 121,054 | $113,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 30,856 | $112,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 18,656 | $112,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 453,000 | $111,000 | thousands by filing date | put |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 32,888 | $111,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 23,142 | $111,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 6,847 | $111,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 50,480 | $111,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 43,416 | $111,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 50,000 | $110,000 | thousands by filing date | put |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 15,953 | $110,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 33,188 | $110,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 29,485 | $110,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 48,007 | $109,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 9,122 | $109,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 20,721 | $109,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 29,400 | $108,000 | thousands by filing date | put |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 18,080 | $108,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 34,857 | $108,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 119,117 | $108,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,478 | $108,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 16,402 | $107,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 44,639 | $107,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 280,405 | $107,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 2,444 | $106,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 3,940 | $106,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 40,928 | $106,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 2,750 | $106,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 18,513 | $105,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 3,445 | $105,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 3,600 | $105,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 4,564 | $105,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 119,512 | $105,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 70,000 | $104,000 | thousands by filing date | call |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 11,178 | $104,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAJ6 | NOTE 4.125% 9/1 | 159,000 | $104,000 | thousands by filing date | principal |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 3,262 | $103,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 41,089 | $103,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 5,836 | $102,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 6,006 | $102,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 35,703 | $102,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 106,800 | $102,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 7,497 | $102,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 105,000 | $102,000 | thousands by filing date | principal |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 2,175 | $101,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 6,553 | $101,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 7,847 | $101,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 10,185 | $101,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 16,745 | $101,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 3,861 | $100,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 9,349 | $100,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 9,541 | $100,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 6,582 | $100,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 15,730 | $100,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 52,000 | $100,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 153,885 | $100,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 48,466 | $100,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 4,851 | $99,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 6,759 | $99,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 64,292 | $99,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 10,171 | $99,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 47,262 | $99,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 6,718 | $99,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 23,927 | $99,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 12,934 | $99,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 7,681 | $99,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 10,200 | $98,000 | thousands by filing date | put |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 7,685 | $98,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 3,230 | $98,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 32,668 | $98,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 44,992 | $98,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 23,174 | $98,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 2,625 | $98,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 1,590 | $98,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 15,001 | $97,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 485,162 | $97,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 15,669 | $97,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 67,900 | $96,000 | thousands by filing date | call |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 13,690 | $96,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 8,508 | $96,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 19,362 | $96,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 12,212 | $96,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 71,981 | $96,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 100,712 | $96,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 27,718 | $96,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 12,540 | $95,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 14,631 | $95,000 | thousands by filing date | |
| PPD INC | 69355F102 | COM | 769,200 | $95,000 | thousands by filing date | call |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 95,000 | $95,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 2,825 | $94,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 12,929 | $94,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 42,491 | $94,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 34,940 | $94,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 5,934 | $93,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,049 | $93,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $93,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 32,434 | $93,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 16,350 | $93,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 25,656 | $93,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 21,732 | $92,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 27,520 | $92,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 12,836 | $92,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 22,169 | $92,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 45,308 | $92,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 39 | $91,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 1,706 | $91,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 3,725 | $91,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 26,134 | $91,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 6,726 | $90,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 39,950 | $90,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 95,000 | $90,000 | thousands by filing date | principal |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 91,000 | $90,000 | thousands by filing date | principal |
| SITIME CORP COM | 82982T106 | Stock | 4,079 | $89,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 47,738 | $89,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 45,658 | $89,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 8,960 | $89,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 14,921 | $89,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 6,144 | $89,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 72,418 | $89,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 99,000 | $89,000 | thousands by filing date | principal |
| IJH | 464287507 | COM | 1,600 | $88,000 | thousands by filing date | put |
| AUTOZONE INC COM | 053332102 | Stock | 5,500 | $88,000 | thousands by filing date | call |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 9,231 | $88,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 60,000 | $88,000 | thousands by filing date | call |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 79,476 | $88,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 4,964 | $88,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 45,388 | $88,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 56,632 | $88,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 17,100 | $87,000 | thousands by filing date | put |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 12,265 | $87,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 53,128 | $87,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 2,792 | $87,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 35,316 | $87,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 2,890 | $86,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 22,374 | $86,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 22,324 | $86,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 84,304 | $86,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 59,662 | $86,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 16,379 | $86,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 7,089 | $85,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 16,085 | $85,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 10,923 | $85,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 42,734 | $85,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 5,738 | $85,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 10,527 | $84,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 19,029 | $84,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 22,869 | $84,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 111,974 | $84,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 2,419 | $83,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 12,575 | $83,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 16,488 | $83,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 15,998 | $83,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 2,668 | $83,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 57,494 | $83,000 | thousands by filing date | |
| DANAHER CORPORATION | 235851300 | 4.75 MND CV PFD | 80 | $83,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 52,400 | $82,000 | thousands by filing date | put |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 11,624 | $82,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 11,096 | $82,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 4,350 | $82,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 5,471 | $82,000 | thousands by filing date | |
| GARRETT MOTION INC | 366505105 | COM | 28,508 | $81,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 3,871 | $81,000 | thousands by filing date | |
| AKAZOO SA COM NPV | L0164E108 | COMMON STOCK | 28,996 | $81,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 39,690 | $80,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,867 | $80,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 5,522 | $80,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 17,562 | $80,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 16,526 | $80,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 120,000 | $80,000 | thousands by filing date | principal |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 500,000 | $79,000 | thousands by filing date | call |
| OXFORD LANE CAP CORP | 691543102 | COM | 18,915 | $79,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 25,595 | $79,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 7,527 | $79,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 10,516 | $79,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 137,812 | $78,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 9,600 | $78,000 | thousands by filing date | put |
| EQUINOX GOLD CORP | 29446Y502 | COM | 11,862 | $78,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 4,801 | $78,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 1,562 | $78,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,924 | $78,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 19,760 | $78,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 54,492 | $78,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 3,547 | $77,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 3,511 | $77,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 31,000 | $77,000 | thousands by filing date | call |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 6,622 | $77,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 1,501 | $77,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 65,000 | $77,000 | thousands by filing date | principal |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 1,500 | $76,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 398,300 | $76,000 | thousands by filing date | call |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 10,767 | $76,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 2,342 | $76,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 2,659 | $76,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 33,257 | $76,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 15,870 | $75,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 63,397 | $75,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 19,678 | $75,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 16,641 | $74,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 3,271 | $74,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 283,659 | $74,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 55,383 | $74,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 61,390 | $73,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 15,603 | $73,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 23,111 | $73,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 104,800 | $72,000 | thousands by filing date | call |
| RIMINI STR INC DEL | 76674Q107 | COM | 17,565 | $72,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 25,094 | $72,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,333 | $72,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 1,217 | $71,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 5,538 | $71,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 8,729 | $71,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 3,024 | $71,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 53,926 | $71,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 49,569 | $71,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 21,113 | $71,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $71,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 22,865 | $71,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 80,000 | $71,000 | thousands by filing date | principal |
| LSB INDS INC | 502160104 | COM | 32,963 | $70,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 6,419 | $70,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 37,199 | $70,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 3,674 | $70,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 1,692 | $70,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 3,239 | $70,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 10,792 | $70,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 13,587 | $69,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 28,885 | $69,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 148,515 | $69,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 11,089 | $68,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 17,895 | $68,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 39,018 | $68,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L108 | CMN | 3,801 | $68,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 9,269 | $68,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 2,973 | $68,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 65,542 | $68,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $68,000 | thousands by filing date | principal |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 18,431 | $68,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 751 | $67,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 11,180 | $67,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 75,490 | $67,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 45,308 | $67,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 40,890 | $67,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 80,000 | $67,000 | thousands by filing date | principal |
| KOSMOS ENERGY LTD | 500688106 | COM | 75,190 | $66,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 10,691 | $66,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 2,626 | $66,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 4,155 | $66,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 6,647 | $65,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 72,343 | $65,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 11,996 | $65,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 1,426 | $65,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 10,814 | $65,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 68,000 | $65,000 | thousands by filing date | principal |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $64,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 60,000 | $64,000 | thousands by filing date | call |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 8,530 | $64,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 25,787 | $64,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 2,077 | $64,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,945 | $64,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 110,493 | $64,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 5,249 | $63,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 2,501 | $63,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 7,613 | $63,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 70,278 | $63,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 14,722 | $63,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 83,277 | $63,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 26,765 | $62,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 238,487 | $62,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 55,000 | $62,000 | thousands by filing date | principal |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 3,303 | $61,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 3,200 | $61,000 | thousands by filing date | put |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 6,324 | $61,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 70,000 | $61,000 | thousands by filing date | principal |
| EXAGEN INC | 30068X103 | COM | 3,747 | $60,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 4,008 | $60,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 7,883 | $60,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 4,087 | $60,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 106,816 | $60,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 23,147 | $60,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 8,107 | $59,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 1,000 | $59,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 73,046 | $59,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 4,600 | $58,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 2,531 | $58,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 4,730 | $58,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 77,434 | $58,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 20,400 | $57,000 | thousands by filing date | put |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 44,871 | $57,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 38,244 | $57,000 | thousands by filing date | |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 2,200 | $56,000 | thousands by filing date | put |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 24,000 | $56,000 | thousands by filing date | put |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 9,200 | $56,000 | thousands by filing date | put |
| SENSEONICS HLDGS INC | 81727U105 | COM | 87,688 | $56,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 1,316 | $56,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 53,000 | $56,000 | thousands by filing date | principal |
| HOOKIPA PHARMA INC | 43906K100 | COM | 6,795 | $56,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 7,950 | $56,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 60,000 | $56,000 | thousands by filing date | principal |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 2,000 | $55,000 | thousands by filing date | put |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 2,453 | $55,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 849 | $55,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 9,804 | $55,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 16,832 | $55,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 133,180 | $55,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 11,000 | $54,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 925,900 | $54,000 | thousands by filing date | call |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 52,350 | $54,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 4,525 | $54,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 3,893 | $54,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 28,404 | $54,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 30,015 | $53,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 2,237 | $53,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 2,099 | $53,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,079 | $53,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 5,501 | $53,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 9,267 | $53,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 24,526 | $53,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 180,000 | $52,000 | thousands by filing date | call |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 10,224 | $52,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 4,246 | $52,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 50,814 | $52,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 6,984 | $52,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 6,940 | $52,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 5,092 | $52,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 1,500 | $51,000 | thousands by filing date | put |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 3,678 | $51,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 6,482 | $51,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 6,772 | $51,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 56,335 | $51,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 40,678 | $51,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 8,167 | $51,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 9,362 | $51,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 4,132 | $50,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 40,300 | $50,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 1,782 | $50,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 53,325 | $50,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 14,091 | $50,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 39,061 | $50,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 346 | $50,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 2,019 | $50,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 2,657 | $50,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 5,285 | $50,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 39,678 | $50,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 26,957 | $50,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 48,653 | $49,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 1,049 | $49,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 24,925 | $49,000 | thousands by filing date | |
| VTI | 922908769 | COM | 2,500 | $48,000 | thousands by filing date | put |
| ELECTROMED INC | 285409108 | COMMON STOCK | 4,236 | $48,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 5,016 | $48,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 50,000 | $48,000 | thousands by filing date | principal |
| Altria Group Inc | 02209S103 | COM | 66,800 | $47,000 | thousands by filing date | call |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 5,000 | $47,000 | thousands by filing date | put |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 9,800 | $47,000 | thousands by filing date | put |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,001 | $47,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,317 | $47,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 2,906 | $47,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 640 | $47,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 4,110 | $47,000 | thousands by filing date | |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 51,000 | $47,000 | thousands by filing date | principal |
| QUORUM HEALTH CORP | 74909E106 | COM | 103,217 | $47,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 9,609 | $47,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 2,244 | $47,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 928 | $46,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 233 | $46,000 | thousands by filing date | put |
| NEXTDECADE CORP | 65342K105 | COM | 24,206 | $46,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 16,343 | $46,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 1,807 | $46,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 1,791 | $46,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 3,082 | $46,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 2,583 | $46,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 26,945 | $46,000 | thousands by filing date | |
| GS FIN CORP | 362273302 | MEDIUM TERM NTS | 465 | $46,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 50,000 | $46,000 | thousands by filing date | principal |
| VERITONE INC | 92347M100 | COM | 19,630 | $45,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 2,354 | $45,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $45,000 | thousands by filing date | principal |
| IMV INC | 44974L103 | COM | 25,745 | $45,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 22,983 | $45,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 17,024 | $45,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 4,768 | $44,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 42,712 | $44,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 5,454 | $44,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 20,623 | $44,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 4,111 | $44,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 5,391 | $44,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 97,200 | $43,000 | thousands by filing date | call |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 56,000 | $43,000 | thousands by filing date | call |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 782 | $43,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 61,685 | $43,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 336,698 | $43,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 10,253 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 567 | $43,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 57,451 | $43,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 35,342 | $43,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 75,000 | $42,000 | thousands by filing date | call |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,000 | $42,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 39,635 | $42,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 51,897 | $42,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 50,250 | $42,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 3,077 | $42,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 27,448 | $42,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 38,608 | $42,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 515 | $41,000 | thousands by filing date | put |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 823 | $41,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 15,713 | $41,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 16,751 | $41,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 5,454 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,431 | $41,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 10,940 | $41,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 155,690 | $41,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 44,474 | $41,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 3,420 | $40,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 20,300 | $40,000 | thousands by filing date | put |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 15,122 | $40,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 11,838 | $40,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 25,322 | $40,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 49,000 | $40,000 | thousands by filing date | principal |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 11,884 | $39,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 41,826 | $39,000 | thousands by filing date | |
| STATE STREET SPDR S&P OIL & GAS EQUIPMENT & SERVICES ETF | 78468R549 | ETF | 1,702 | $39,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 3,148 | $39,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 3,219 | $39,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 16,178 | $39,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 3,001 | $39,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 104 | $38,000 | thousands by filing date | put |
| Berkshire Hathaway Inc | 084670702 | COM | 30 | $38,000 | thousands by filing date | put |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 7,301 | $38,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 790 | $38,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 164,234 | $38,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 46,000 | $38,000 | thousands by filing date | principal |
| RESTORBIO INC | 76133L103 | COM | 36,820 | $38,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 16,878 | $38,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 1,881 | $37,000 | thousands by filing date | put |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,400 | $37,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 7,437 | $37,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 1,503 | $37,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 50,000 | $37,000 | thousands by filing date | principal |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 1,878 | $37,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 6,286 | $37,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 29,600 | $36,000 | thousands by filing date | put |
| HESS CORP | 42809H107 | COM | 13,200 | $36,000 | thousands by filing date | call |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,755 | $36,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 1,140 | $36,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 11,373 | $36,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 5,550 | $36,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 35,564 | $36,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 3,821 | $36,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 21,061 | $36,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 90,000 | $36,000 | thousands by filing date | principal |
| J JILL INC | 46620W102 | COM | 65,723 | $36,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 74 | $35,000 | thousands by filing date | put |
| KRAFT HEINZ CO COM | 500754106 | Stock | 155,900 | $35,000 | thousands by filing date | call |
| FUELCELL ENERGY INC | 35952H601 | COM | 23,437 | $35,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 20,000 | $35,000 | thousands by filing date | call |
| DBX ETF TR | 233051242 | CMN | 1,527 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 1,300 | $35,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 22,008 | $35,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 1,756 | $35,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 87,183 | $35,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 197,000 | $34,000 | thousands by filing date | call |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 5,948 | $34,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 853 | $34,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 361 | $34,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 53,334 | $34,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 6,103 | $34,000 | thousands by filing date | |
| 8X8 INC NEW | 282914AB6 | BOND | 39,000 | $34,000 | thousands by filing date | principal |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 4,075 | $34,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 58,483 | $34,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 79,808 | $34,000 | thousands by filing date | |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 650 | $33,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 1,343 | $33,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DISTRI | 20440T300 | SPONSORED ADR | 2,642 | $33,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 9,395 | $33,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 10,368 | $33,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 9,269 | $33,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 59,511 | $33,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 35,645 | $33,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 50,386 | $33,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 40,000 | $33,000 | thousands by filing date | principal |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 70,040 | $33,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 311,600 | $32,000 | thousands by filing date | call |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 4,259 | $32,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 3,322 | $32,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 712 | $32,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 27,215 | $32,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 2,700 | $32,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 2,500 | $31,000 | thousands by filing date | put |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 92,300 | $31,000 | thousands by filing date | call |
| ZYNGA INC. | 98986T108 | CL A | 105,900 | $31,000 | thousands by filing date | call |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 1,281 | $31,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 1,540 | $31,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 2,337 | $31,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 32,400 | $30,000 | thousands by filing date | call |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 5,400 | $30,000 | thousands by filing date | call |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 6,900 | $30,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 586 | $30,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 4,255 | $30,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-20-000264 | this filing | 2020-05-14 | acceptance time not in the bulk data set |