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 |
|---|---|---|---|---|---|---|
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 73,236 | $522,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 4,399 | $521,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 14,688 | $520,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 15,552 | $520,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 189,233 | $520,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 49,041 | $520,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 144,700 | $519,000 | thousands by filing date | put |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 3,578 | $519,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 31,525 | $517,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 44,614 | $516,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 56,698 | $515,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 11,588 | $515,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 113,214 | $515,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 245,141 | $514,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 71,952 | $514,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 225,201 | $513,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 71,246 | $513,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 509,000 | $513,000 | thousands by filing date | principal |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 38,638 | $512,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 18,953 | $512,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 18,355 | $511,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 39,434 | $509,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 101,200 | $507,000 | thousands by filing date | call |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 44,485 | $507,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 19,876 | $507,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 62,558 | $506,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 74,966 | $505,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 33,229 | $504,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 279,557 | $504,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 35,238 | $504,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 30,762 | $503,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 48,347 | $501,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 63,731 | $500,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 6,775 | $500,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 71,386 | $499,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 429,011 | $498,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 8,327 | $498,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 8,016 | $498,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 30,768 | $497,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 114,783 | $496,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 43,037 | $496,000 | thousands by filing date | |
| US Ecology, Inc. | 91734M103 | COM | 16,336 | $496,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 23,222 | $496,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 23,910 | $495,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 140,796 | $495,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 13,350 | $495,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 98,363 | $493,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 11,000 | $491,000 | thousands by filing date | put |
| AUTOZONE INC COM | 053332102 | Stock | 3,000 | $489,000 | thousands by filing date | put |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 29,592 | $489,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 152,357 | $489,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 23,158 | $489,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 8,104 | $489,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 135,164 | $487,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 21,210 | $486,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 22,077 | $486,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 35,094 | $485,000 | thousands by filing date | |
| TWIN RIV WORLDWIDE HLDGS INC | 90171V204 | COM | 37,301 | $485,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 2,120 | $484,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 124,415 | $483,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 65,789 | $483,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 42,749 | $481,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 75,141 | $479,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 116,109 | $478,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 31,319 | $477,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 93,355 | $477,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 136,094 | $476,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 33,300 | $476,000 | thousands by filing date | put |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 185,501 | $476,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 48,755 | $476,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 12,660 | $476,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 35,255 | $475,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 90,426 | $474,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 57,115 | $473,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 9,542 | $473,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 34,530 | $472,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 47,348 | $471,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 103,699 | $470,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 22,542 | $470,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 19,619 | $470,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 62,867 | $469,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 46,581 | $469,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 111,946 | $469,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 552,000 | $469,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 13,285 | $468,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 75,705 | $468,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 20,083 | $467,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 37,044 | $466,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 142,916 | $466,000 | thousands by filing date | |
| FRANKLIN LIBERTY HIGH YIELD | 35473P629 | LIBERTY HI YLD | 20,655 | $465,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 18,186 | $465,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 37,166 | $465,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 34,553 | $464,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 30,165 | $464,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 45,090 | $464,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 57,048 | $463,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 56,000 | $463,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 54,312 | $462,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 54,578 | $460,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 29,592 | $460,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 110,000 | $459,000 | thousands by filing date | call |
| IMAX CORP | 45245E109 | COM | 50,592 | $459,000 | thousands by filing date | |
| TENABLE HLDGS INC | 88025T102 | COM | 20,970 | $458,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 569,054 | $458,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 2,653,636 | $458,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 37,131 | $458,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 29,936 | $455,000 | thousands by filing date | |
| BLACK DIAMOND THERAPEUTICS I | 09203E105 | COM | 18,196 | $454,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 28,114 | $454,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 69,897 | $454,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 35,000 | $453,000 | thousands by filing date | call |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 56,151 | $452,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 29,295 | $451,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 46,061 | $451,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 24,065 | $451,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 227,473 | $450,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 108,838 | $450,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 10,800 | $449,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 888,900 | $448,000 | thousands by filing date | call |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 41,839 | $448,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 32,677 | $448,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 63,300 | $446,000 | thousands by filing date | put |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 76,434 | $446,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 12,355 | $445,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 20,780 | $445,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 48,085 | $444,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 54,870 | $444,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 326,900 | $443,000 | thousands by filing date | put |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 52,404 | $443,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 16,800 | $442,000 | thousands by filing date | call |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 27,277 | $441,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 284,769 | $441,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 22,764 | $440,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 535,000 | $440,000 | thousands by filing date | principal |
| MESABI TR | 590672101 | CTF BEN INT | 30,700 | $439,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 12,310 | $439,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 52,284 | $439,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 13,749 | $438,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 201,388 | $437,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 76,506 | $437,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 33,507 | $437,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 16,982 | $436,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 87,421 | $436,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 40,266 | $436,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 14,743 | $435,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 7,143 | $435,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 54,137 | $435,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 687,300 | $434,000 | thousands by filing date | call |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 16,161 | $432,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 1,232,967 | $432,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 89,676 | $431,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 42,397 | $430,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 31,675 | $430,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 56,470 | $428,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 15,009 | $426,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 14,176 | $425,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 32,376 | $424,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 44,827 | $424,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 25,213 | $424,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 128,865 | $422,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 61,153 | $422,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 53,326 | $422,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 21,302 | $421,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 35,965 | $421,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 20,116 | $421,000 | thousands by filing date | |
| TORTOISE ESSENTIAL ASSETS IN | 89148A103 | COM SH BEN INT | 41,660 | $421,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 161,989 | $420,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 14,991 | $420,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 31,264 | $419,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 138,066 | $418,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 480,000 | $418,000 | thousands by filing date | principal |
| PENNS WOODS BANCORP INC | 708430103 | COM | 17,196 | $418,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 405,322 | $417,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V191 | S&P MDCP400 VL | 10,747 | $417,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 38,512 | $417,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 491,000 | $417,000 | thousands by filing date | principal |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 25,196 | $416,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 486,839 | $416,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 115,610 | $415,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 46,925 | $415,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 83,917 | $414,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 271,146 | $414,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 39,990 | $414,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 30,578 | $413,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 33,982 | $413,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 50,863 | $412,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 11,960 | $410,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 86,173 | $410,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 31,845 | $408,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 14,392 | $406,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 13,944 | $405,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 166,051 | $405,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 70,300 | $404,000 | thousands by filing date | put |
| ISHARES TR | 46435G102 | CONV BD ETF | 7,431 | $404,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 40,834 | $404,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 58,345 | $404,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 84,362 | $404,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 17,385 | $403,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 58,229 | $402,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 136,225 | $402,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 451,000 | $402,000 | thousands by filing date | principal |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 122,447 | $401,000 | thousands by filing date | |
| MASTERCRAFT BOAT HOLDINGS IN | 57637H103 | COMMON STOCK | 54,846 | $400,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 13,456 | $399,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 32,190 | $399,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 25,815 | $399,000 | thousands by filing date | |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 11,685 | $399,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 41,907 | $399,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 353,225 | $399,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 81,957 | $398,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 31,524 | $398,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 36,170 | $397,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 396,000 | $396,000 | thousands by filing date | principal |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 31,886 | $396,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 59,726 | $395,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 39,605 | $394,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 31,648 | $393,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 42,965 | $393,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 78,427 | $393,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 158,604 | $393,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 6,422 | $392,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 7,404 | $390,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 147,112 | $390,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 34,964 | $390,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 500,000 | $390,000 | thousands by filing date | principal |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 123,426 | $389,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 23,486 | $389,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 18,967 | $388,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 133,635 | $387,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 4,941 | $385,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 14,262 | $385,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 14,160 | $385,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 15,000 | $385,000 | thousands by filing date | put |
| SPOK HLDGS INC COM | 84863T106 | Stock | 35,968 | $384,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 51,471 | $384,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 428,096 | $384,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 13,910 | $384,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 156,376 | $383,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 35,789 | $382,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 8,310 | $382,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 64,132 | $381,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 13,678 | $378,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 72,705 | $378,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 27,847 | $378,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 166,811 | $378,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 49,392 | $376,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 14,207 | $376,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 35,106 | $376,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 125,436 | $376,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 650,000 | $375,000 | thousands by filing date | call |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 11,366 | $375,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 6,508 | $375,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 33,572 | $375,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 290,075 | $375,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 5,858 | $374,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 257,000 | $374,000 | thousands by filing date | principal |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 523,492 | $372,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 11,389 | $372,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 129,492 | $372,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 41,962 | $371,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 23,415 | $371,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 70,574 | $370,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 26,233 | $370,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 23,782 | $369,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 182,050 | $368,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 38,638 | $367,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 69,217 | $367,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 26,601 | $366,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 39,772 | $366,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 432,000 | $366,000 | thousands by filing date | principal |
| LUTHER BURBANK CORP | 550550107 | COM | 39,841 | $366,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 37,516 | $364,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 191,858 | $364,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 26,841 | $364,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 43,014 | $363,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 30,000 | $363,000 | thousands by filing date | put |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 35,318 | $363,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 77,374 | $363,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 40,566 | $362,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 110,122 | $362,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 21,271 | $362,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 31,057 | $361,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 24,016 | $361,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 25,799 | $360,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 221,792 | $360,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 94,100 | $359,000 | thousands by filing date | put |
| FIRST INTERNET BANCORP | 320557101 | COM | 21,785 | $358,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 14,748 | $358,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 14,718 | $358,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 48,690 | $357,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 86,347 | $357,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 75,626 | $357,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 54,000 | $355,000 | thousands by filing date | call |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 26,692 | $355,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 8,614 | $355,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 413,000 | $355,000 | thousands by filing date | principal |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 27,099 | $354,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 58,118 | $353,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 9,870 | $353,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 74,751 | $353,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 11,485 | $351,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 74,031 | $351,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 77,623 | $351,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 38,052 | $350,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 219,700 | $347,000 | thousands by filing date | put |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 65,682 | $347,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 14,239 | $347,000 | thousands by filing date | |
| INVESCO S&P 500 EQUAL WEIGHT ENERGY ETF | 46137V365 | ETF | 17,336 | $347,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 43,570 | $346,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 51,006 | $345,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 39,066 | $345,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 219,386 | $345,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188408 | LOW DURTIN ETF | 7,040 | $344,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 12,876 | $344,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 17,004 | $344,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 22,568 | $344,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 90,225 | $344,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 48,545 | $343,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 33,457 | $343,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 77,588 | $343,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 26,837 | $343,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 29,914 | $343,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 35,048 | $343,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 43,584 | $342,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 20,858 | $342,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 29,212 | $342,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 49,267 | $341,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 29,531 | $341,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 147,063 | $340,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 121,993 | $339,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 12,704 | $339,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 15,302 | $339,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 13,708 | $339,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 36,168 | $338,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 12,515 | $337,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 51,117 | $336,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 11,396 | $336,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 46,613 | $335,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 20,748 | $335,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 15,565 | $335,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 15,251 | $335,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 3,206 | $334,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 24,716 | $334,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 20,719 | $334,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 24,481 | $333,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 39,110 | $333,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 21,488 | $333,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 22,862 | $333,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 30,401 | $332,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 6,486 | $331,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 14,231 | $331,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 10,555 | $331,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 784,512 | $331,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 54,567 | $330,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 21,889 | $329,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 12,588 | $329,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 3,620 | $328,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 27,194 | $328,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 119,628 | $328,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 26,453 | $328,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 9,466 | $327,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 15,999 | $326,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 127,922 | $325,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 38,478 | $325,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 6,713 | $324,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 27,334 | $324,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 34,210 | $323,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 27,987 | $322,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 34,145 | $322,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 33,725 | $321,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 411,400 | $320,000 | thousands by filing date | call |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 20,602 | $320,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 61,769 | $319,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 68,501 | $319,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 11,200 | $318,000 | thousands by filing date | put |
| CITY OFFICE REIT INC | 178587101 | COM | 43,938 | $318,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 58,237 | $318,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 3,864 | $317,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 2,768,000 | $317,000 | thousands by filing date | principal |
| Gilead Sciences,Inc. | 375558103 | COM | 97,400 | $316,000 | thousands by filing date | put |
| TITAN MACHY INC | 88830R101 | COM | 36,305 | $316,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 5,811 | $316,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 13,200 | $315,000 | thousands by filing date | put |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 25,509 | $315,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 759,990 | $315,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 32,880 | $314,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 63,513 | $314,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 56,500 | $312,000 | thousands by filing date | call |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 53,000 | $312,000 | thousands by filing date | call |
| CANOPY GROWTH CORP | 138035100 | COM | 21,671 | $312,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 9,158 | $312,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 15,526 | $312,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 23,875 | $312,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 71,714 | $312,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 866,307 | $312,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 268,215 | $311,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 19,840 | $309,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 12,886 | $308,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 6,147 | $307,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 89,161 | $307,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 55,302 | $307,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 21,270 | $307,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 79,720 | $306,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 6,504 | $304,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 9,795 | $304,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 59,301 | $302,000 | thousands by filing date | |
| Canadian $ ETF | 46138T104 | ETF | 4,315 | $302,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 131,704 | $302,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 10,000 | $301,000 | thousands by filing date | put |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 27,775 | $301,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 7,241 | $301,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 38,156 | $300,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 43,094 | $300,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 33,066 | $299,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 125,169 | $299,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 51,172 | $298,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 29,072 | $298,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 63,616 | $298,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 27,412 | $298,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 68,000 | $297,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 6,210 | $297,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 45,931 | $297,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 31,211 | $297,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 74,364 | $296,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 49,559 | $296,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 491,498 | $295,000 | thousands by filing date | |
| REALPAGE INC | 75606NAB5 | NOTE | 220,000 | $295,000 | thousands by filing date | principal |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 19,257 | $294,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 33,967 | $294,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 23,051 | $294,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 28,400 | $292,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 37,998 | $292,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 81,836 | $292,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 161,247 | $292,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 107,100 | $291,000 | thousands by filing date | put |
| SPARK ENERGY INC | 846511103 | CL A COM | 46,435 | $291,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 44,734 | $291,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 127,686 | $291,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 22,082 | $290,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 201,310 | $290,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 28,336 | $289,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 94,090 | $288,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 26,269 | $287,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 77,408 | $287,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 22,300 | $286,000 | thousands by filing date | put |
| ALERUS FINL CORP | 01446U103 | COM | 17,325 | $286,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Municipal Bond ETF | 46435U325 | ETF | 10,893 | $286,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 105,396 | $284,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 13,363 | $284,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 47,827 | $284,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 120,000 | $283,000 | thousands by filing date | call |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 10,297 | $283,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 185,800 | $282,000 | thousands by filing date | call |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 112,121 | $282,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 28,898 | $282,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 48,042 | $282,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 48,538 | $279,000 | thousands by filing date | |
| iShares iBonds Dec. 2029 Corporate Bond ETF | 46436E205 | ETF | 11,565 | $279,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 159,944 | $279,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 71,757 | $278,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 89,154 | $277,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 3,556 | $277,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 33,600 | $277,000 | thousands by filing date | |
| SPDR SER TR | 78468R556 | S&P OILGAS EXP | 2,819,900 | $276,000 | thousands by filing date | call |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 7,225 | $275,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 15,601 | $275,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 24,860 | $275,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 197,877 | $275,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 16,359 | $274,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 49,001 | $274,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 104,697 | $273,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 34,611 | $273,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 39,080 | $273,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 19,969 | $273,000 | thousands by filing date | |
| GEN DIGITAL INC COM | 668771108 | Stock | 186,900 | $272,000 | thousands by filing date | put |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 24,983 | $272,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 19,549 | $271,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 12,415 | $271,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 23,331 | $271,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 9,878 | $271,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 10,934 | $271,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 24,625 | $270,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 41,986 | $270,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 852,000 | $269,000 | thousands by filing date | call |
| ICAD INC | 44934S206 | COM NEW | 36,682 | $269,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 260,000 | $268,000 | thousands by filing date | principal |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 20,641 | $267,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 26,155 | $267,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 12,097 | $267,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 358,509 | $265,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 8,795 | $264,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 31,009 | $264,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 166,752 | $263,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 26,594 | $263,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 52,928 | $262,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 123,633 | $262,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 85,933 | $262,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 12,254 | $261,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 25,190 | $261,000 | thousands by filing date | |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 5,799 | $261,000 | 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 |