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 |
|---|---|---|---|---|---|---|
| HCI GROUP INC | 40416E103 | COM | 26,637 | $1,072,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 30,831 | $1,069,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 99,843 | $1,069,000 | thousands by filing date | |
| SIBANYE STILLWATER LTD SPONSORED ADR | 82575P107 | ADR | 226,065 | $1,067,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 189,584 | $1,067,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 58,020 | $1,067,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 96,418 | $1,066,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 354,848 | $1,064,000 | thousands by filing date | |
| PROGYNY INC COM | 74340E103 | Stock | 50,093 | $1,062,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 226,905 | $1,062,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 49,509 | $1,059,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 126,131 | $1,058,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 18,926 | $1,053,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 999,000 | $1,053,000 | thousands by filing date | principal |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 86,879 | $1,048,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 69,516 | $1,040,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 102,607 | $1,040,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 290,326 | $1,040,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 38,521 | $1,039,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 89,011 | $1,038,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 38,618 | $1,036,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 80,000 | $1,035,000 | thousands by filing date | call |
| DIGI INTL INC | 253798102 | COM | 108,503 | $1,035,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 1,072,000 | $1,033,000 | thousands by filing date | principal |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 160,649 | $1,031,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 35,130 | $1,027,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 59,250 | $1,025,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 35,392 | $1,023,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 60,004 | $1,022,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 49,748 | $1,021,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 218,914 | $1,018,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V886 | S&P500 EX-RATE | 18,018 | $1,014,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 73,944 | $1,013,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 137,308 | $1,013,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 367,200 | $1,010,000 | thousands by filing date | call |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 63,535 | $1,010,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 134,933 | $1,010,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 28,708 | $1,010,000 | thousands by filing date | |
| GFL ENVIRONMENTAL INC SUB VTG SHS | 36168Q104 | Stock | 66,990 | $1,008,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 350,000 | $1,007,000 | thousands by filing date | put |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 230,980 | $1,005,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 124,891 | $1,005,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 94,406 | $1,001,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 93,811 | $1,000,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 1,000,000 | $1,000,000 | thousands by filing date | principal |
| CUTERA INC | 232109108 | COM | 76,542 | $999,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 41,662 | $997,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 639,267 | $997,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 329,500 | $995,000 | thousands by filing date | put |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 105,155 | $994,000 | thousands by filing date | |
| DOCUSIGN INC | 256163AB2 | NOTE 0.500% 9/1 | 707,000 | $993,000 | thousands by filing date | principal |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 3,101,050 | $992,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 20,562 | $991,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 24,810 | $990,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 895,000 | $990,000 | thousands by filing date | principal |
| XEROX HOLDINGS CORP | 98421M106 | COM NEW | 71,100 | $988,000 | thousands by filing date | put |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 80,727 | $988,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 182,276 | $988,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 40,667 | $981,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 86,833 | $978,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 54,965 | $976,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 126,706 | $975,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 70,929 | $973,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 117,125 | $971,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 119,318 | $970,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 74,622 | $967,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 246,547 | $967,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 10,085 | $963,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 217,395 | $960,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 66,104 | $960,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 117,418 | $958,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 25,880 | $957,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 66,061 | $953,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 142,102 | $948,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 142,944 | $947,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 47,753 | $946,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 55,364 | $946,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 74,516 | $944,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 54,440 | $944,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 1,450 | $943,000 | thousands by filing date | put |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 188,294 | $943,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 107,561 | $939,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 106,264 | $937,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 154,129 | $935,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 194,563 | $934,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 374,058 | $931,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 126,715 | $927,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 41,209 | $927,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 130,636 | $923,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 69,398 | $923,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 125,145 | $919,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 11,886 | $917,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 159,269 | $915,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 87,738 | $915,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 131,726 | $914,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 82,600 | $914,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 150,168 | $913,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 920,000 | $913,000 | thousands by filing date | principal |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 68,561 | $911,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 68,819 | $910,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 58,221 | $910,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 98,603 | $909,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 7,128 | $908,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 56,965 | $908,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 16,143 | $906,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 107,259 | $905,000 | thousands by filing date | |
| DESIGNER BRANDS INC | 250565108 | CL A | 181,142 | $903,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 300,272 | $901,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 57,090 | $900,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 85,333 | $895,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 289,855 | $895,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 43,850 | $895,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 86,331 | $894,000 | thousands by filing date | |
| ACADIAN ASSET MANAGEMENT INC COM | 10948W103 | Stock | 139,572 | $893,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 47,170 | $890,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 26,636 | $888,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 294,744 | $888,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 383,852 | $887,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 93,622 | $886,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 9,428 | $886,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 194,895 | $883,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 20,162 | $883,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 31,750 | $880,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 830,514 | $880,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 85,306 | $880,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 68,187 | $878,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 801,000 | $877,000 | thousands by filing date | principal |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 86,264 | $876,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 117,781 | $875,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 20,049 | $875,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 12,194 | $875,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 208,241 | $875,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 17,756 | $871,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 225,767 | $869,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 115,782 | $863,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 10,495 | $862,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 31,955 | $861,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 17,175 | $861,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 4,825,978 | $856,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 182,497 | $854,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 86,547 | $852,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 160,151 | $852,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 58,886 | $852,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 449,281 | $849,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 71,226 | $848,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 68,455 | $847,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 134,464 | $845,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 54,200 | $844,000 | thousands by filing date | put |
| H WORLD GROUP LTD SPONSORED ADS | 44332N106 | ADR | 29,305 | $843,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 13,000 | $843,000 | thousands by filing date | put |
| DAUCH CORP | 024061103 | COM | 233,416 | $842,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 70,958 | $842,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 43,024 | $841,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 35,436 | $840,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 57,568 | $837,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 56,576 | $837,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 40,418 | $835,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 25,203 | $833,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,042,000 | $833,000 | thousands by filing date | principal |
| HERON THERAPEUTICS INC | 427746102 | COM | 70,774 | $831,000 | thousands by filing date | |
| ORIGIN BANCORP INC | 68621T102 | COMMON STOCK | 41,024 | $831,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 38,108 | $831,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 377,103 | $830,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 56,525 | $828,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 25,484 | $827,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 30,519 | $826,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 183,605 | $826,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 71,577 | $826,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 30,772 | $825,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 37,346 | $823,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 364,158 | $823,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 46,879 | $821,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 116,749 | $818,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 357,753 | $816,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 179,464 | $816,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 14,742 | $816,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 27,634 | $815,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,252,531 | $815,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 52,614 | $814,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 288,492 | $814,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 248,830 | $812,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 9,195 | $811,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 32,379 | $809,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 27,570 | $808,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 60,460 | $808,000 | thousands by filing date | |
| BELLRING BRANDS INC | 079823100 | COMMON STOCK | 47,267 | $806,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 42,296 | $806,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 43,806 | $806,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 321,850 | $805,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 74,566 | $804,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 151,053 | $803,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 25,333 | $801,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 41,952 | $800,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 19,956 | $799,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 25,629 | $796,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 983,000 | $796,000 | thousands by filing date | principal |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 17,352 | $795,000 | thousands by filing date | |
| BANK FIRST CORP | 06211J100 | COM | 14,157 | $793,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 22,250 | $793,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 32,063 | $793,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 37,272 | $790,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 66,516 | $788,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 41,133 | $787,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 52,619 | $787,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 30,022 | $787,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 67,577 | $784,000 | thousands by filing date | |
| BENEFYTT TECHNOLOGIES INC | 08182C106 | COM CL A | 34,996 | $784,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 35,756 | $783,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 56,057 | $781,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAC9 | NOTE 0.375% 3/0 | 1,000,000 | $779,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 23,800 | $777,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 100,484 | $775,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 19,476 | $774,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 17,073 | $773,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 57,996 | $770,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 800,000 | $770,000 | thousands by filing date | principal |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 199,954 | $769,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 91,068 | $768,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 16,020 | $766,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 183,527 | $765,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 24,200 | $762,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 501,062 | $761,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 32,927 | $760,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 60,916 | $759,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 28,183 | $759,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 75,658 | $758,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 72,585 | $758,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 157,719 | $757,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 78,457 | $755,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 98,303 | $755,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 375,178 | $754,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 13,751 | $750,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 95,472 | $750,000 | thousands by filing date | |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 7,044 | $750,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 154,561 | $749,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 214,326 | $746,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 196,305 | $746,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 406,945 | $745,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 16,569 | $744,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 99,676 | $743,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 10,297 | $742,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 73,375 | $738,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 163,900 | $734,000 | thousands by filing date | call |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 818,000 | $734,000 | thousands by filing date | principal |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 562,354 | $732,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 56,725 | $731,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 8,641 | $729,000 | thousands by filing date | |
| XP INC CL A | G98239109 | Stock | 37,637 | $727,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 35,311 | $726,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 12,900 | $726,000 | thousands by filing date | call |
| DYNEX CAP INC | 26817Q886 | COM | 69,519 | $726,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 103,159 | $726,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 31,141 | $725,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 23,056 | $725,000 | thousands by filing date | |
| INTELSAT S A | 45790VAB6 | NOTE 4.500% 6/1 | 3,320,000 | $725,000 | thousands by filing date | principal |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 163,238 | $725,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 170,181 | $724,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B102 | GOLD MINERS ETF | 36,438 | $724,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 15,865 | $724,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 152,623 | $723,000 | thousands by filing date | put |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 28,345 | $720,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229AE2 | DEB 2.250% 9/3 | 1,516,000 | $719,000 | thousands by filing date | principal |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 81,542 | $719,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 75,557 | $717,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 304,328 | $717,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 63,499 | $715,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 29,438 | $715,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 39,664 | $713,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAD3 | NOTE 1.125%11/0 | 1,000,000 | $713,000 | thousands by filing date | principal |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 72,382 | $713,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 7,589 | $713,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 6,966 | $712,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 64,807 | $711,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 61,132 | $711,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 35,987 | $711,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 105,345 | $710,000 | thousands by filing date | |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 8,928 | $709,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 50,000 | $709,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 9,300 | $709,000 | thousands by filing date | |
| 1LIFE HEALTHCARE INC | 68269G107 | COM | 39,052 | $709,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 211,948 | $708,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 52,907 | $706,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 117,275 | $706,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 190,319 | $703,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 43,735 | $702,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 277,164 | $701,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 25,478 | $699,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 61,841 | $697,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 115,000 | $696,000 | thousands by filing date | call |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 16,175 | $695,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 101,007 | $695,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 112,398 | $695,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 160,963 | $692,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 56,722 | $687,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 60,872 | $686,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 66,293 | $684,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 121,969 | $683,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 57,242 | $683,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 173,002 | $682,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 15,472 | $681,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 594,000 | $678,000 | thousands by filing date | call |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 6,009 | $677,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 172,424 | $676,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 38,057 | $676,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 239,100 | $675,000 | thousands by filing date | put |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 128,877 | $675,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 38,524 | $674,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 48,571 | $674,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 117,566 | $672,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 35,510 | $670,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 70,600 | $668,000 | thousands by filing date | put |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 61,566 | $668,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 226,654 | $667,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 56,929 | $667,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 187,276 | $664,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 259,414 | $664,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 59,192 | $662,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 147,117 | $661,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 209,433 | $661,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 35,926 | $659,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 23,544 | $659,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 44,951 | $659,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 72,665 | $658,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 52,553 | $657,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 69,048 | $656,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 37,797 | $655,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 75,198 | $654,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 23,831 | $654,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 42,138 | $654,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 117,413 | $654,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 632,000 | $654,000 | thousands by filing date | principal |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 33,673 | $652,000 | thousands by filing date | |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 89,189 | $652,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 12,522 | $651,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 91,810 | $650,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 155,968 | $650,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 93,738 | $648,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 70,680 | $648,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 33,466 | $648,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 23,503 | $646,000 | thousands by filing date | |
| IQIYI INC | 46267XAB4 | NOTE 3.750%12/0 | 635,000 | $646,000 | thousands by filing date | principal |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 69,351 | $645,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 156,639 | $645,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V712 | BLOO MVP MUL ETF | 8,765 | $645,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 31,999 | $643,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 160,641 | $643,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 28,113 | $642,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V159 | CMN | 22,548 | $642,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 63,657 | $641,000 | thousands by filing date | |
| SCHRODINGER INC COM | 80810D103 | Stock | 14,838 | $640,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 964,899 | $640,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 89,241 | $640,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 29,500 | $639,000 | thousands by filing date | put |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 53,635 | $638,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 133,268 | $638,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 19,209 | $637,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 19,038 | $637,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 103,192 | $637,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 54,986 | $637,000 | thousands by filing date | |
| PACER FDS TR | 69374H709 | GLOBL CASH ETF | 28,248 | $636,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 4,966 | $635,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 45,800 | $635,000 | thousands by filing date | put |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 46,216 | $632,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 144,276 | $632,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 158,131 | $632,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 86,500 | $631,000 | thousands by filing date | call |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 33,265 | $630,000 | thousands by filing date | |
| ENSCO JERSEY FIN LTD | 29359WAB1 | NOTE 3.000% 1/3 | 2,424,000 | $630,000 | thousands by filing date | principal |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 28,302 | $629,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576101 | COMMON STOCK | 40,870 | $628,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 43,224 | $627,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 242,311 | $627,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 851,000 | $627,000 | thousands by filing date | principal |
| VISTA OUTDOOR INC | 928377100 | COM | 70,924 | $625,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 95,768 | $624,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 67,933 | $623,000 | thousands by filing date | |
| CIMPRESS PLC | G2143T103 | SHS EURO | 11,695 | $622,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 30,000 | $621,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 17,101 | $620,000 | thousands by filing date | |
| HELIOS TECHNOLOGIES INC | 42328H109 | COM | 16,318 | $619,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 77,041 | $619,000 | thousands by filing date | |
| EZCORP INC | 302301AF3 | NOTE2.875% 7/0 | 800,000 | $619,000 | thousands by filing date | principal |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 64,007 | $618,000 | thousands by filing date | |
| PENNANT GROUP INC | 70805E109 | COM | 43,516 | $617,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 21,293 | $616,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 118,067 | $615,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 33,460 | $614,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 32,902 | $614,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 82,556 | $614,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 59,879 | $612,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 56,978 | $611,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 40,347 | $611,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 8,629 | $611,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 37,131 | $609,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 81,892 | $609,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 63,706 | $608,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 148,997 | $606,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 176,391 | $605,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 124,718 | $604,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 105,643 | $604,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 116,800 | $603,000 | thousands by filing date | call |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 28,419 | $603,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 61,215 | $602,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 23,240 | $602,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 48,810 | $601,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Municipal Bond ETF | 46435U283 | ETF | 23,072 | $600,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502846 | UNIT 11/15/2022 | 8,581 | $600,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 99,997 | $600,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 34,619 | $598,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 11,790 | $597,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 250,000 | $596,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 37,400 | $595,000 | thousands by filing date | put |
| CERUS CORP | 157085101 | COM | 128,021 | $595,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 107,362 | $595,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 107,410 | $595,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 16,526 | $594,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 44,416 | $593,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 56,895 | $593,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 28,784 | $593,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 45,700 | $591,000 | thousands by filing date | call |
| Boeing Company | 097023105 | COM | 68 | $590,000 | thousands by filing date | put |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 32,535 | $590,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 15,535 | $590,000 | thousands by filing date | |
| HESS MIDSTREAM LP | 428103105 | CL A SHS | 57,945 | $589,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 42,812 | $585,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 17,163 | $584,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 23,370 | $584,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 43,623 | $583,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 33,766 | $582,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 268,971 | $581,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 34,912 | $581,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 24,270 | $581,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 39,124 | $580,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 102,700 | $578,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 25,133 | $576,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 54,702 | $575,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 207,742 | $574,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 18,616 | $573,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 23,244 | $572,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 52,350 | $572,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 42,289 | $571,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 48,094 | $571,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 42,081 | $570,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 78,263 | $567,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 43,843 | $566,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 131,175 | $566,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 28,262 | $565,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 106,961 | $562,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 51,353 | $562,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 27,598 | $562,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 348,230 | $561,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 173,302 | $560,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 94,750 | $560,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 39,958 | $560,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 28,697 | $558,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 10,942 | $557,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 13,034 | $554,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 13,913 | $554,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 56,777 | $553,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 22,626 | $553,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 79,268 | $552,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 11,304 | $551,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 168,814 | $549,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 126,939 | $549,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 19,593 | $548,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 34,770 | $547,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 265,768 | $547,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 159,946 | $545,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 59,354 | $545,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 500,000 | $545,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 50,994 | $543,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 132,992 | $543,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 21,551 | $542,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 74,647 | $542,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 30,586 | $542,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 129,706 | $541,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 21,963 | $540,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 95,000 | $539,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 87,307 | $538,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 65,010 | $538,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 40,451 | $538,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 216,459 | $537,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 8,034 | $537,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 37,862 | $537,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 30,340 | $534,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 42,577 | $534,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 35,103 | $533,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 24,656 | $533,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 93,511 | $532,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 32,654 | $531,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 32,716 | $531,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 69,453 | $531,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 575,000 | $531,000 | thousands by filing date | principal |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 24,963 | $530,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 26,514 | $529,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 9,038 | $529,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 54,597 | $528,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 9,708 | $527,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 96,862 | $524,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 20,216 | $523,000 | 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 |