13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-13, with 7,165 holding rows worth $343,810,957,000.
- Accession
- 0000072971-20-000318
- Filer
- CIK 72971
- Filed
- 2020-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A holdings report, 20,884 entries on the cover page, a total value of $343,810,957,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $343,810,957,000 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 INC028-04413
- included managerWELLS CAPTIAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS 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 |
|---|---|---|---|---|---|---|
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 6,780 | $167,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 13,652 | $167,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 3,842 | $167,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 27,950 | $167,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 92,657 | $166,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 11,128 | $166,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 20,047 | $165,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 13,500 | $164,000 | thousands by filing date | put |
| PAMT CORP | 693149106 | COMMON STOCK | 5,328 | $164,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 21,733 | $164,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 22,442 | $164,000 | thousands by filing date | |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 9,034 | $164,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 40,217 | $163,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 17,419 | $163,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 23,093 | $163,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 22,368 | $163,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 10,223 | $162,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 58,778 | $162,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 31,213 | $161,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 16,071 | $160,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 50,000 | $160,000 | thousands by filing date | call |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 229,600 | $160,000 | thousands by filing date | call |
| CONTRAFECT CORP | 212326300 | COM | 24,941 | $159,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 170,000 | $159,000 | thousands by filing date | principal |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 40,395 | $158,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 29,113 | $158,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 28,632 | $158,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 44,111 | $158,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 23,833 | $158,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 8,912 | $157,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 158,000 | $157,000 | thousands by filing date | principal |
| T-Mobile US Inc Rights 20 | 872590112 | RIGHT 07/27/2020 | 930,566 | $156,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 2,460 | $156,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 153,000 | $156,000 | thousands by filing date | principal |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 6,323 | $155,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 15,870 | $155,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 7,805 | $155,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 50,916 | $155,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 125,811 | $154,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 9,785 | $154,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 6,668 | $153,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 90,615 | $153,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 40,000 | $152,000 | thousands by filing date | put |
| EQUINOX GOLD CORP | 29446Y502 | COM | 13,562 | $152,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 55,000 | $151,000 | thousands by filing date | put |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 6,770 | $151,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 7,996 | $151,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 88,318 | $149,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 7,800 | $149,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 2,660 | $149,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 183,526 | $149,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 161,200 | $147,000 | thousands by filing date | call |
| NEWTEKONE INC | 652526203 | COM NEW | 8,069 | $147,000 | thousands by filing date | |
| CONMED CORP | 207410AF8 | BOND | 140,000 | $147,000 | thousands by filing date | principal |
| SYNAPTICS INC COM | 87157D109 | Stock | 270,000 | $146,000 | thousands by filing date | put |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 51,079 | $146,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 2,869 | $146,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 198,547 | $145,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 40,100 | $145,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 11,124 | $144,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 16,607 | $144,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 170,602 | $143,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 4,634 | $143,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 13,014 | $143,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 150,000 | $143,000 | thousands by filing date | principal |
| OTONOMY INC | 68906L105 | COM | 39,442 | $142,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 45,350 | $142,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 25,100 | $141,000 | thousands by filing date | call |
| DOCUSIGN INC COM | 256163106 | Stock | 6,100 | $141,000 | thousands by filing date | call |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 7,100 | $141,000 | thousands by filing date | call |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 5,377 | $141,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 1,171 | $141,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 2,874 | $141,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 11,056 | $141,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 5,063 | $140,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,115 | $139,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 5,430 | $139,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 116,904 | $138,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 10,174 | $138,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 79,100 | $137,000 | thousands by filing date | call |
| Amazon.com, Inc | 023135106 | COM | 1,304 | $136,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 458,200 | $136,000 | thousands by filing date | call |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 16,818 | $136,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 12,644 | $136,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 42,723 | $136,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 155,101 | $135,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 8,147 | $135,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 38,800 | $133,000 | thousands by filing date | put |
| TWILIO INC CL A | 90138F102 | Stock | 19,900 | $133,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 3,853 | $132,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 133,305 | $132,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 40,953 | $132,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 30,300 | $131,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 1,156 | $131,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 3,523 | $131,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 1,821 | $131,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 15,543 | $131,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 28,410 | $130,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,666 | $130,000 | thousands by filing date | |
| GARRETT MOTION INC | 366505105 | COM | 23,401 | $130,000 | thousands by filing date | |
| BEYOND MEAT INC | 08862E109 | COM | 12,500 | $130,000 | thousands by filing date | put |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 42,206 | $130,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 409,500 | $130,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 5,837 | $130,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 35,360 | $130,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 14,750 | $130,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 98,400 | $128,000 | thousands by filing date | call |
| CONTINENTAL RES INC | 212015101 | COM | 511,500 | $128,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 2,788 | $128,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 10,108 | $128,000 | thousands by filing date | |
| World Gold TR | 98149E204 | SPRD GLD Minis | 7,225 | $128,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 27,141 | $128,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 11,871 | $128,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 38,920 | $127,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 48,009 | $127,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 6,498 | $126,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,607 | $126,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 24,804 | $126,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 8,553 | $126,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 5,008 | $126,000 | thousands by filing date | |
| ICL GROUP LTD SHS | M53213100 | Stock | 40,822 | $125,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 20,761 | $125,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y319 | CMN | 6,346 | $125,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 3,723 | $125,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 34,639 | $125,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 139,000 | $125,000 | thousands by filing date | principal |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 56,275 | $125,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 13,604 | $124,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 61,803 | $124,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 6,178 | $124,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 17,636 | $124,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 195,663 | $124,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 106,198 | $124,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 30,776 | $124,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 16,917 | $123,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 48,007 | $123,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 5,448 | $123,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 23,892 | $123,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 223,000 | $122,000 | thousands by filing date | call |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 12,711 | $122,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 19,300 | $120,000 | thousands by filing date | call |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 27,600 | $119,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 2,167 | $119,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 29,475 | $119,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 126,186 | $119,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 6,738 | $119,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 13,950 | $118,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 191,502 | $118,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 41,775 | $118,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 9,295 | $117,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 4,800 | $117,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 120,000 | $116,000 | thousands by filing date | put |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 7,900 | $116,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 2,176 | $116,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 16,669 | $116,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 6,198 | $116,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 50,692 | $116,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 16,218 | $116,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 36,376 | $116,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 139,574 | $116,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 3,639 | $115,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 51,350 | $115,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 9,541 | $115,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 15,497 | $115,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 53,707 | $115,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 5,837 | $114,000 | thousands by filing date | |
| ADAPTIVE BIOTECHNOLOGIES CORP COM | 00650F109 | Stock | 25,000 | $114,000 | thousands by filing date | call |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 3,861 | $114,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 7,120 | $114,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 24,982 | $114,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 800,000 | $113,000 | thousands by filing date | call |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 18,080 | $113,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 85,463 | $113,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 252,000 | $112,000 | thousands by filing date | call |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 52,300 | $112,000 | thousands by filing date | put |
| AFLAC INC COM | 001055102 | Stock | 1,450 | $112,000 | thousands by filing date | put |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 4,271 | $112,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 12,891 | $112,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 46,300 | $111,000 | thousands by filing date | call |
| PLAYAGS INC | 72814N104 | COM | 32,851 | $111,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 74,489 | $111,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 18,560 | $111,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 11,300 | $110,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 3,000 | $110,000 | thousands by filing date | put |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 74,873 | $110,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 52,052 | $110,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 95,000 | $110,000 | thousands by filing date | principal |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 27,323 | $109,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 35,968 | $109,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 65,000 | $109,000 | thousands by filing date | principal |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 2,936 | $108,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 25,561 | $108,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 14,597 | $108,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 14,632 | $108,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 141,432 | $108,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 27,017 | $107,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 406,690 | $107,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 8,537 | $106,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 10,323 | $106,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 12,749 | $106,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 86,522 | $106,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 1,589 | $106,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 124,458 | $106,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 3,000 | $105,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 11,096 | $105,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,981 | $105,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 7,681 | $105,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 15,022 | $104,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 14,153 | $104,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 34,058 | $104,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 28,185 | $104,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 2,825 | $103,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 3,404 | $103,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 11,888 | $103,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 14,200 | $102,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 107,100 | $102,000 | thousands by filing date | put |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 11,060 | $102,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION COM | 03768F102 | CL A | 10,000 | $102,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 13,008 | $102,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 6,347 | $101,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 30,435 | $101,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 20,491 | $101,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 20,000 | $100,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 2,555 | $100,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 20,287 | $100,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 105,000 | $100,000 | thousands by filing date | principal |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 35,963 | $100,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 1,963 | $99,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 5,724 | $99,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 5,999 | $99,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 32,427 | $99,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 11,030 | $98,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 4,334 | $98,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 17,543 | $98,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 101,000 | $98,000 | thousands by filing date | principal |
| YRC WORLDWIDE INC | 984249607 | COM | 51,798 | $97,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 73,600 | $97,000 | thousands by filing date | call |
| ENVISTA HOLDINGS CORPORATION | 29415F104 | COM | 72,200 | $96,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 3,094 | $96,000 | thousands by filing date | |
| RH | 74967X103 | COM | 20,000 | $96,000 | thousands by filing date | put |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 15,161 | $96,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 1,706 | $96,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 50,018 | $96,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 100,000 | $96,000 | thousands by filing date | principal |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 6,716 | $95,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 10,955 | $95,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 99,000 | $95,000 | thousands by filing date | principal |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 120,000 | $95,000 | thousands by filing date | principal |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 95,000 | $95,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 2,659 | $94,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 103,000 | $94,000 | thousands by filing date | principal |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 677 | $93,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 75,600 | $93,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 2,853 | $93,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N300 | CL A | 7,152 | $93,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 1,387 | $93,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC | 02376RAF9 | NOTE 6.500% 7/0 | 100,000 | $93,000 | thousands by filing date | principal |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 34,741 | $93,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 1,698 | $92,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 2,413 | $92,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 6,758 | $91,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 6,426 | $91,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 4,768 | $91,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 2,393 | $91,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 69,179 | $91,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 37,078 | $91,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 3,783 | $90,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 8,723 | $90,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 71,775 | $90,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 56,584 | $90,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 65,686 | $90,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 8,499 | $89,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 12,969 | $89,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 3,719 | $89,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 11,900 | $89,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 29,830 | $89,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 2,890 | $88,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 4,744 | $88,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 5,491 | $88,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 20,577 | $88,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 36,142 | $88,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 7,233 | $88,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 58,244 | $88,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 10,015 | $88,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 19,446 | $87,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 8,031 | $87,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 1,692 | $87,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 3,787 | $87,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 57,364 | $87,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 60,339 | $86,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 57,454 | $86,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 13,434 | $86,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 30,000 | $85,000 | thousands by filing date | put |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 12,700 | $85,000 | thousands by filing date | put |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 40,306 | $85,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 87,675 | $85,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 45,305 | $85,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 10,000 | $84,000 | thousands by filing date | put |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 32,919 | $84,000 | thousands by filing date | |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 2,762 | $84,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 21,543 | $84,000 | thousands by filing date | |
| United States Oil Fund LP | 91232N207 | COM | 200,200 | $84,000 | thousands by filing date | call |
| MARCHEX INC | 56624R108 | CMN | 53,530 | $84,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 153,000 | $84,000 | thousands by filing date | call |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 124,679 | $84,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 727,900 | $83,000 | thousands by filing date | put |
| RADIAN GROUP INC COM | 750236101 | Stock | 100,000 | $83,000 | thousands by filing date | put |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 6,522 | $83,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,299 | $83,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 10,916 | $83,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 10,468 | $83,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 100,000 | $83,000 | thousands by filing date | put |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $83,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 20,895 | $83,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 9,509 | $82,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 38,000 | $82,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 40,505 | $82,000 | thousands by filing date | |
| NIKOLA CORP | 654110113 | *W EXP 06/03/202 | 2,475 | $82,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 57,400 | $81,000 | thousands by filing date | call |
| ZYNGA INC. | 98986T108 | CL A | 129,000 | $81,000 | thousands by filing date | call |
| Concho Resources Inc. | 20605P101 | COM | 125,000 | $81,000 | thousands by filing date | call |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 3,518 | $81,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 19,678 | $81,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 4,052 | $81,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 31,909 | $81,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 108,898 | $81,000 | thousands by filing date | |
| ISHARES TR | 46435U226 | IBONDS 21 TRM HG | 3,400 | $81,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 90,000 | $81,000 | thousands by filing date | principal |
| PINTEREST INC CL A | 72352L106 | Stock | 50,000 | $80,000 | thousands by filing date | call |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 5,475 | $80,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 30,343 | $80,000 | thousands by filing date | |
| Galiano Gold Inc | 36352H100 | COM | 60,354 | $80,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 3,407 | $79,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 4,969 | $79,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 14,314 | $79,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 80,000 | $79,000 | thousands by filing date | principal |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 20,404 | $78,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 1,500 | $78,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L108 | CMN | 3,801 | $78,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 21,114 | $78,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,142 | $78,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 22,300 | $77,000 | thousands by filing date | put |
| Walmart Inc. | 931142103 | COM | 10,200 | $77,000 | thousands by filing date | put |
| VALUE LINE INC | 920437100 | COMMON STOCK | 2,839 | $77,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K123 | UNIT 99/99/9999 | 6,500 | $77,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 67,700 | $76,000 | thousands by filing date | put |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 23,500 | $76,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 1,426 | $76,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 21,568 | $76,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 2,759 | $76,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 77,986 | $76,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 34,771 | $75,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 5,937 | $75,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 180,000 | $74,000 | thousands by filing date | call |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 10,928 | $74,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 7,760 | $74,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 107,281 | $74,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $73,000 | thousands by filing date | |
| POWER INTEGRATIONS INC COM | 739276103 | Stock | 22,400 | $73,000 | thousands by filing date | call |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 2,418 | $73,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,450 | $73,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 11,996 | $73,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 5,652 | $73,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 97,700 | $72,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 50,000 | $72,000 | thousands by filing date | call |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 7,497 | $72,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941BAB2 | NOTE 0.375% 3/0 | 86,000 | $72,000 | thousands by filing date | principal |
| GS FIN CORP | 362273302 | MEDIUM TERM NTS | 465 | $72,000 | thousands by filing date | |
| SOCIAL CAP HDOSPHIA HLDG CO | G8250T117 | UNIT 99/99/9999 | 5,750 | $72,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 51,600 | $71,000 | thousands by filing date | call |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 4,543 | $71,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,353 | $71,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 26,700 | $70,000 | thousands by filing date | put |
| SHIFT4 PMTS INC CL A | 82452J109 | Stock | 1,967 | $70,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 5,338 | $70,000 | thousands by filing date | |
| FS KKR CAP CORP II | 35952V303 | COM | 5,448 | $70,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 36,784 | $70,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 204,300 | $69,000 | thousands by filing date | call |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 745 | $69,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 55,000 | $69,000 | thousands by filing date | principal |
| iShares Silver Trust | 46428Q109 | COM | 322,800 | $68,000 | thousands by filing date | put |
| Texas Instruments Incorporated | 882508104 | COM | 37,500 | $68,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 2,531 | $68,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 13,487 | $68,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 4,075 | $68,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 70,000 | $68,000 | thousands by filing date | principal |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $68,000 | thousands by filing date | principal |
| PG&E CORP COM | 69331C108 | Stock | 185,100 | $67,000 | thousands by filing date | put |
| USA TODAY CO INC | 36472T109 | COM | 159,800 | $67,000 | thousands by filing date | call |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 9,267 | $67,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 11,399 | $67,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 23,547 | $67,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 25,746 | $67,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 2,710 | $66,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 842 | $66,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 2,799 | $66,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 7,353 | $66,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 925 | $66,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,800 | $66,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 50,000 | $65,000 | thousands by filing date | put |
| Concho Resources Inc. | 20605P101 | COM | 6,000 | $65,000 | thousands by filing date | put |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 8,816 | $65,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 12,364 | $65,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 2,067 | $65,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 2,966 | $65,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886TAJ1 | NOTE 1.750% 6/0 | 67,000 | $65,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 20,000 | $64,000 | thousands by filing date | call |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 77,200 | $64,000 | thousands by filing date | put |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 2,708 | $64,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 111,200 | $64,000 | thousands by filing date | put |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 11,801 | $64,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 60,200 | $63,000 | thousands by filing date | call |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 14,227 | $63,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 16,744 | $63,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 3,800 | $63,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 8,102 | $63,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 39,678 | $63,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 6,739 | $63,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 63,200 | $63,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 13,813 | $63,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 5,940 | $63,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 70,000 | $62,000 | thousands by filing date | put |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 67,000 | $62,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 1,050 | $62,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 15,000 | $61,000 | thousands by filing date | put |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 855 | $61,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 4,382 | $61,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 342 | $61,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 1,760 | $61,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 2,450 | $61,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 28,900 | $60,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 1,782 | $60,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 12,400 | $60,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 1,978 | $60,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 23,334 | $60,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 25,868 | $60,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 60,000 | $60,000 | thousands by filing date | principal |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 4,456 | $60,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 4,400 | $59,000 | thousands by filing date | put |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 27,100 | $59,000 | thousands by filing date | call |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 937 | $59,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 2,019 | $59,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 69,717 | $59,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 25,214 | $59,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 81,768 | $59,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,000 | $58,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 2,159 | $58,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 50,000 | $57,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 1,966 | $57,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,079 | $57,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 10,539 | $57,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 25,269 | $57,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 200,000 | $56,000 | thousands by filing date | put |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 4,373 | $56,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 34,000 | $56,000 | thousands by filing date | call |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 4,485 | $56,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 16,588 | $56,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 5,145 | $55,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 224,900 | $55,000 | thousands by filing date | call |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 7,938 | $55,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 4,008 | $55,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 6,750 | $55,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 3,201 | $55,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 10,283 | $55,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 60,000 | $55,000 | thousands by filing date | principal |
| Analog Devices,Inc. | 032654105 | COM | 43,200 | $54,000 | thousands by filing date | call |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 4,891 | $54,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 12,900 | $54,000 | thousands by filing date | put |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 2,360 | $54,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 20,000 | $54,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 10,000 | $53,000 | thousands by filing date | call |
| GAP INC COM | 364760108 | Stock | 55,800 | $53,000 | thousands by filing date | call |
| HENNESSY ADVISORS INC | 425885100 | COM | 6,772 | $53,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 2,101 | $53,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 50,000 | $53,000 | thousands by filing date | principal |
| PAN AMERN SILVER CORP | 697900108 | COM | 17,700 | $52,000 | thousands by filing date | put |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 7,299 | $52,000 | thousands by filing date | |
| GAN LTD | G3728V109 | SHS | 100,000 | $52,000 | thousands by filing date | put |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 3,351 | $51,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 17,500 | $51,000 | thousands by filing date | put |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 9,425 | $51,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 64,700 | $51,000 | thousands by filing date | put |
| GENPREX INC | 372446104 | COM | 16,239 | $51,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 192,400 | $50,000 | thousands by filing date | put |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 12,749 | $50,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 2,839 | $50,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 15,754 | $50,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 6,564 | $50,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 48,000 | $50,000 | thousands by filing date | principal |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 32,400 | $49,000 | thousands by filing date | call |
| AMERICANRLTYINVSINC | 029174109 | STOK | 5,447 | $49,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 26,159 | $49,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 30,150 | $49,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 1,808 | $49,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 6,702 | $49,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 1,945 | $49,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNE | 51508j405 | LP | 2,000 | $49,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,001 | $48,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 24,082 | $48,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 2,284 | $48,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-20-000318 | this filing | 2020-08-13 | acceptance time not in the bulk data set |