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 |
|---|---|---|---|---|---|---|
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 17,514 | $30,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 16,818 | $30,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,156 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,348 | $30,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 1,946 | $30,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 30,000 | $30,000 | thousands by filing date | principal |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 6,679 | $29,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 79,584 | $29,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 61,379 | $29,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 967 | $29,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 9,199 | $29,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 15,372 | $29,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 140,389 | $29,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 5,200 | $29,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $29,000 | thousands by filing date | principal |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 1,215 | $28,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 3,176 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 250 | $28,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 4,638 | $28,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 20,887 | $28,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 64,050 | $28,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,196 | $28,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 7,180 | $28,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 501 | $28,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 18,395 | $28,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 22,096 | $28,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 1,881 | $28,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 10 | $27,000 | thousands by filing date | put |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 35,817 | $27,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 10,243 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 914 | $27,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,150 | $27,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 15,870 | $27,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 13,434 | $27,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 48,000 | $27,000 | thousands by filing date | principal |
| GEN DIGITAL INC COM | 668771108 | Stock | 122,700 | $26,000 | thousands by filing date | call |
| 3M CO COM | 88579Y101 | Stock | 2,800 | $26,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 681 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 913 | $26,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 1,070 | $26,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,236 | $26,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 28,000 | $26,000 | thousands by filing date | principal |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 27,698 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 2,000 | $25,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 1,140 | $25,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 125,000 | $25,000 | thousands by filing date | call |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 5,754 | $25,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 12,038 | $25,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 6,797 | $25,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 2,620 | $25,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 3,811 | $25,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,242 | $25,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 51,000 | $25,000 | thousands by filing date | principal |
| EOG RES INC COM | 26875P101 | Stock | 129,400 | $24,000 | thousands by filing date | call |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 60,000 | $24,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 16,607 | $24,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 310 | $24,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 36,000 | $24,000 | thousands by filing date | call |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 16,500 | $24,000 | thousands by filing date | put |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,458 | $24,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 36,087 | $24,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 2,000 | $24,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 17,080 | $24,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 12,800 | $23,000 | thousands by filing date | call |
| NOVOCURE LTD | G6674U108 | ORD SHS | 35,800 | $23,000 | thousands by filing date | call |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 884 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 711 | $23,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,592 | $23,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 4,042 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 649 | $23,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,700 | $23,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 30,000 | $23,000 | thousands by filing date | principal |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 4,786 | $23,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 25,000 | $23,000 | thousands by filing date | principal |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 100 | $22,000 | thousands by filing date | put |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 3,538 | $22,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 53,080 | $22,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 8,252 | $22,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 23,178 | $22,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 466 | $22,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 145,000 | $21,000 | thousands by filing date | call |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 1,293 | $21,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 25,000 | $21,000 | thousands by filing date | put |
| OFS CAPITAL CORP | 67103B100 | COM | 5,087 | $21,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,999 | $21,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 3,047 | $21,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 668 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 406 | $21,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 110,619 | $21,000 | thousands by filing date | |
| ONECONNECT FINL TECHNOLOGY C | 68248T105 | ADR | 2,072 | $21,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 35,912 | $21,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 2,505 | $21,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 6,330 | $21,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,340 | $21,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 10,509 | $21,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 24,000 | $21,000 | thousands by filing date | principal |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 8,016 | $21,000 | thousands by filing date | |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 331 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 1,710 | $20,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 21,500 | $20,000 | thousands by filing date | put |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 5,050 | $20,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 1,000 | $20,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 56 | $20,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 47,028 | $20,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 6,520 | $20,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 13,731 | $20,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 381 | $20,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 449 | $20,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 17,000 | $20,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 80,200 | $19,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 31,300 | $19,000 | thousands by filing date | put |
| TFI INTERNATIONAL INC COM | 87241L109 | Stock | 853 | $19,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 8,605 | $19,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 1,676 | $19,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 7,000 | $19,000 | thousands by filing date | call |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 3,365 | $19,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 4,311 | $19,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P884 | US MID CP MLTFCT | 750 | $19,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 53,811 | $19,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 11,366 | $19,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 5,939 | $19,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 23,325 | $19,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 1,391 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 19,000 | $19,000 | thousands by filing date | principal |
| MASTEC INC COM | 576323109 | Stock | 41,700 | $18,000 | thousands by filing date | call |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 4,800 | $18,000 | thousands by filing date | put |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 6,460 | $18,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 30,259 | $18,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,022 | $18,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 485 | $18,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 3,700 | $18,000 | thousands by filing date | put |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 7,206 | $18,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 27,851 | $18,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 10 | $17,000 | thousands by filing date | put |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 10,000 | $17,000 | thousands by filing date | call |
| VERTIV HOLDINGS CO COM CL A | 92537N108 | Stock | 2,000 | $17,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 2,738 | $17,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 5,317 | $17,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 2,089 | $17,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 525 | $17,000 | thousands by filing date | |
| KBR INC | 48242WAB2 | BOND | 16,000 | $17,000 | thousands by filing date | principal |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,262 | $17,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,168 | $17,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 766 | $17,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 10,062 | $17,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 7 | $16,000 | thousands by filing date | put |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 827 | $16,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,451 | $16,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 50,000 | $16,000 | thousands by filing date | call |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 1,000 | $16,000 | thousands by filing date | put |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 8,149 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 1,251 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 151 | $16,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 2,639 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 148 | $16,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N103 | COM | 1,501 | $16,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 616 | $16,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 10,205 | $16,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 20,000 | $16,000 | thousands by filing date | principal |
| TRANSENTERIX INC | 89366M300 | COM | 47,759 | $16,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 71,518 | $16,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 2,525 | $16,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 1,600 | $16,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 16,000 | $16,000 | thousands by filing date | principal |
| PPL CORP COM | 69351T106 | Stock | 17,400 | $15,000 | thousands by filing date | put |
| CANAAN INC | 134748102 | SPONSORED ADS | 5,177 | $15,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 663 | $15,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 20,000 | $15,000 | thousands by filing date | put |
| INVESCO BULLETSHARES 2029 CORPORATE BOND ETF | 46138J577 | ETF | 784 | $15,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 3,026 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 718 | $15,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 3,905 | $15,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 3,930 | $15,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 558 | $15,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 21,348 | $15,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 13,212 | $15,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 14,161 | $15,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 10 | $14,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 71,700 | $14,000 | thousands by filing date | call |
| VERMILION ENERGY INC COM | 923725105 | Stock | 4,357 | $14,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 1,500 | $14,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 400 | $14,000 | thousands by filing date | put |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 742 | $14,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 5,411 | $14,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 250,000 | $14,000 | thousands by filing date | call |
| INVESCO EXCH TRD SLF IDX FD | 46138J585 | BULETSHS 2027 | 621 | $14,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 900 | $14,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 4,000 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,109 | $14,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 868 | $14,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 1,253 | $14,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 3,896 | $14,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 8,083 | $13,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 5,335 | $13,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 1,049 | $13,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 501 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 703 | $13,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 2,031 | $13,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 499 | $13,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 1,061 | $13,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 1,695 | $13,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 3,300 | $13,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 1,678 | $13,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 62,455 | $13,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 452 | $13,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 64,157 | $13,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 6,505 | $13,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 18,108 | $13,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,070 | $13,000 | thousands by filing date | |
| DIAMOND EAGLE ACQUISITION CO | 25258L208 | UNIT 06/30/2026 | 1,000 | $13,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 4,400 | $12,000 | thousands by filing date | put |
| Coca-Cola Company | 191216100 | COM | 6,200 | $12,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 602 | $12,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 3,073 | $12,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 3,850 | $12,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 58,700 | $12,000 | thousands by filing date | call |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 2,797 | $12,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 585 | $12,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 1,990 | $12,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 11,136 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 474 | $12,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 20,000 | $12,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q803 | DIVERSIFIED ET | 639 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741JS59 | MTNF 5/2 | 12,000 | $12,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 245 | $12,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 136,800 | $11,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,001 | $11,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 20,000 | $11,000 | thousands by filing date | put |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 628 | $11,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 1,800 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,062 | $11,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,015 | $11,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 18,586 | $11,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 8,325 | $11,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 8,791 | $11,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 3,849 | $11,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 17,040 | $11,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 18 | $10,000 | thousands by filing date | put |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 1,000 | $10,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 2,200 | $10,000 | thousands by filing date | put |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 4,440 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 406 | $10,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,533 | $10,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 444 | $10,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 226 | $10,000 | thousands by filing date | |
| CRESCENT CAP BDC INC | 225655109 | COM | 1,035 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 346 | $10,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 762 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 460 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 150 | $10,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 207 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 469 | $10,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 1,500 | $10,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 61,900 | $10,000 | thousands by filing date | call |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 7,967 | $10,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 30,000 | $10,000 | thousands by filing date | call |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 471 | $10,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 2,411 | $10,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 22,097 | $10,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 35,070 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 587 | $10,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $10,000 | thousands by filing date | |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 145,668 | $10,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 10,000 | $9,000 | thousands by filing date | call |
| UnitedHealth Group Inc | 91324P102 | COM | 1,600 | $9,000 | thousands by filing date | call |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 3,300 | $9,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 2,317 | $9,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 1,804 | $9,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 5,756 | $9,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 5,000 | $9,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 868 | $9,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 11,547 | $9,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 860 | $9,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,037 | $9,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 5,000 | $9,000 | thousands by filing date | principal |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 12,000 | $9,000 | thousands by filing date | principal |
| Altria Group Inc | 02209S103 | COM | 15 | $8,000 | thousands by filing date | put |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 700 | $8,000 | thousands by filing date | put |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 45,300 | $8,000 | thousands by filing date | put |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 456 | $8,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 4,356 | $8,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 1,102 | $8,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 426 | $8,000 | thousands by filing date | |
| FRANKLIN FTSE CHINA ETF | 35473P819 | ETF | 350 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 202 | $8,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $8,000 | thousands by filing date | |
| BRAINSWAY LTD | 10501L106 | CMN | 1,000 | $8,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 151 | $8,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 2,525 | $8,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 10,000 | $8,000 | thousands by filing date | principal |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 9,682 | $8,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 13,291 | $8,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 7,000 | $8,000 | thousands by filing date | principal |
| ETRACS BLOOMBERG CMDY TTL RTNSM ETN | 90269A450 | ETF | 723 | $8,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 375 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A537 | CBOE VEST S&P | 233 | $8,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 200 | $7,000 | thousands by filing date | put |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 2,400 | $7,000 | thousands by filing date | call |
| PAYPALHLDGSINC | 70450Y103 | STOK | 247,900 | $7,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,997 | $7,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 25,000 | $7,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 200,000 | $7,000 | thousands by filing date | call |
| ETF SER SOLUTIONS | 26922A388 | APTUS DEFINED | 255 | $7,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 465 | $7,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 366,300 | $7,000 | thousands by filing date | call |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 50,000 | $7,000 | thousands by filing date | call |
| XILINX INC | 983919101 | COM | 4,000 | $7,000 | thousands by filing date | call |
| VEONEER INC | 92336X109 | COM | 1,037 | $7,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 2,857 | $7,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 11,730 | $7,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 7,274 | $7,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 26,300 | $7,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 368 | $7,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,625 | $7,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 225 | $7,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,060 | $7,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 206 | $7,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 331 | $7,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 6,391 | $7,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 296 | $7,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 10,178 | $7,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 18,669 | $7,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 31,190 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 1,220 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $7,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 3,045 | $7,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 874 | $7,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,500 | $7,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 544 | $7,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 3,600 | $6,000 | thousands by filing date | call |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 10,000 | $6,000 | thousands by filing date | call |
| XCELENERGY INC | 98389B100 | COM | 28 | $6,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 312 | $6,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 14,600 | $6,000 | thousands by filing date | call |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 4,272 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 353 | $6,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 16,911 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 142 | $6,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 232 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y609 | CMN | 289 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 45 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 400 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 326 | $6,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,224 | $6,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,036 | $6,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641810 | CMCI GOLD ETN | 150 | $6,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 7,930 | $6,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 1,000 | $6,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 1,764 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 1,385 | $6,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 300 | $5,000 | thousands by filing date | put |
| Chevron Corporation | 166764100 | COM | 4 | $5,000 | thousands by filing date | put |
| Walmart Inc. | 931142103 | COM | 5,000 | $5,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 212 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 601 | $5,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 536 | $5,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 54,700 | $5,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 102 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 210 | $5,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,501 | $5,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 14,345 | $5,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 580 | $5,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,001 | $5,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 5,147 | $5,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 3,917 | $5,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 4,988 | $5,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 171 | $5,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 700 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 226 | $5,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,007 | $5,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 2,000 | $5,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 890 | $5,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 6,000 | $5,000 | thousands by filing date | principal |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 911 | $5,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 4,024 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 158 | $5,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CL A ORD | 30734W109 | COM | 500 | $5,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 7,391 | $5,000 | thousands by filing date | |
| CANCER GENETICS INC | 13739U203 | COM NEW | 2,012 | $5,000 | thousands by filing date | |
| RA MED SYS INC | 74933X104 | COM | 5,054 | $5,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 3,100 | $4,000 | thousands by filing date | put |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 100 | $4,000 | thousands by filing date | put |
| ABRDN ETFS | 003261104 | BBRG ALL COMD K1 | 229 | $4,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,872 | $4,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 41,600 | $4,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,285 | $4,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 9,900 | $4,000 | thousands by filing date | call |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 71 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 63 | $4,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 1,075 | $4,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 65 | $4,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 218 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 50 | $4,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 1,275 | $4,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $4,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 2,415 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 200 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 180 | $4,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 3,338 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 267 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 330 | $4,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 319 | $4,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 288 | $4,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 170,800 | $4,000 | thousands by filing date | put |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 3,142 | $4,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,671 | $4,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 5,592 | $4,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 800 | $4,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 2,000 | $4,000 | thousands by filing date | principal |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 11,842 | $4,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 668 | $4,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 7,428 | $4,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 2,606 | $4,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 180 | $4,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 641 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 733 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 131 | $4,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 2,900 | $3,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 16,600 | $3,000 | thousands by filing date | call |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 56 | $3,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 1,200 | $3,000 | thousands by filing date | put |
| UnitedHealth Group Inc | 91324P102 | COM | 1,800 | $3,000 | thousands by filing date | put |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 700 | $3,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 100 | $3,000 | thousands by filing date | put |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 1,600 | $3,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 14,861 | $3,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 417 | $3,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,000 | $3,000 | thousands by filing date | put |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 923 | $3,000 | thousands by filing date | |
| CHOICEONE FINANCIAL SVCS INC | 170386106 | COMMON STOCK | 105 | $3,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 300 | $3,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 512 | $3,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 904 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33737K205 | INDXX NEXTG ETF | 60 | $3,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 1,031 | $3,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 658 | $3,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 1,557 | $3,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 195 | $3,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,999 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 103 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A511 | CMN | 134 | $3,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 99 | $3,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 4,039 | $3,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 132 | $3,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 288 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 50 | $3,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 400 | $3,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 20,536 | $3,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 1,350 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 60 | $3,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 237 | $3,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 743 | $3,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 510 | $3,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,409 | $3,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 5,151 | $3,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 122 | $3,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 693 | $3,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 82 | $3,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 201 | $3,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 13,701 | $3,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 500 | $3,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 91 | $3,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 291 | $3,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 1,055 | $3,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 92 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 129 | $3,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 2,000 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 208 | $3,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 2,193 | $3,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,499 | $3,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 151 | $3,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 3,185 | $3,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 541 | $3,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 15,634 | $3,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 4,000 | $3,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 75 | $3,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 1,000 | $3,000 | thousands by filing date | principal |
| ENVISION SOLAR INTL INC | 29413Q201 | COM | 434 | $3,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 3 | $2,000 | thousands by filing date | call |
| Citigroup Inc. | 172967424 | COM | 29,700 | $2,000 | thousands by filing date | call |
| Schlumberger Limited | 806857108 | COM | 20,000 | $2,000 | thousands by filing date | call |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 100 | $2,000 | thousands by filing date | put |
| Vanguard Total World Stock ETF | 922042742 | SHS | 100 | $2,000 | thousands by filing date | put |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 1,000 | $2,000 | thousands by filing date | put |
| HALLIBURTON CO COM | 406216101 | Stock | 4,200 | $2,000 | thousands by filing date | call |
| GENERAL MILLS INC COM | 370334104 | Stock | 2,100 | $2,000 | thousands by filing date | put |
| TYSON FOODS INC CL A | 902494103 | Stock | 80,000 | $2,000 | thousands by filing date | call |
| ADECOAGRO S A | L00849106 | COM | 442 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 42 | $2,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 5,130 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 27 | $2,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 740 | $2,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,095 | $2,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 18,300 | $2,000 | thousands by filing date | call |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 90 | $2,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 2,120 | $2,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 276 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 228 | $2,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 1,283 | $2,000 | 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 |