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 |
|---|---|---|---|---|---|---|
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 600 | $47,000 | thousands by filing date | put |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 9,900 | $47,000 | thousands by filing date | call |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 26,300 | $47,000 | thousands by filing date | put |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 6,306 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 251 | $47,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 173,452 | $47,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 1,735 | $47,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 3,081 | $47,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 12,095 | $47,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 50,000 | $47,000 | thousands by filing date | principal |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $47,000 | thousands by filing date | principal |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 50,000 | $46,000 | thousands by filing date | call |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 35,000 | $46,000 | thousands by filing date | call |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,400 | $46,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 15,299 | $46,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 4,652 | $46,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 9,041 | $46,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 2,500 | $46,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 4,001 | $45,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189H888 | COAL ETF | 640 | $45,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 34,415 | $44,000 | thousands by filing date | put |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,316 | $44,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 10,755 | $44,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 1,300 | $44,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 15,244 | $44,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 53,812 | $44,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $44,000 | thousands by filing date | principal |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 6,250 | $44,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 900 | $43,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 822 | $43,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 1,527 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 567 | $43,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 31,800 | $43,000 | thousands by filing date | call |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 3,098 | $43,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 6,935 | $43,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 78,126 | $42,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 7,414 | $42,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 9,062 | $42,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 50,000 | $42,000 | thousands by filing date | principal |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 46,000 | $42,000 | thousands by filing date | principal |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 5,379 | $41,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 1,540 | $41,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K200 | COM | 3,522 | $41,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 46,000 | $41,000 | thousands by filing date | principal |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 2,262 | $40,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 5,000 | $40,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 1,129 | $40,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 1,946 | $40,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 196,500 | $39,000 | thousands by filing date | call |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 3,857 | $39,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 934 | $39,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 4,482 | $39,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 1,742 | $39,000 | thousands by filing date | |
| DELMAR BANCORP | 247035207 | COM NEW | 5,951 | $39,000 | thousands by filing date | |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 20,000 | $38,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 1,601 | $38,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 5,455 | $38,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 51,281 | $38,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 13,351 | $38,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 38,900 | $37,000 | thousands by filing date | call |
| DOLLAR TREE INC COM | 256746108 | Stock | 18,800 | $37,000 | thousands by filing date | call |
| COMMERCE BANCSHARES INC | 200525103 | COM | 11,700 | $37,000 | thousands by filing date | put |
| HERBALIFE LTD | G4412G101 | COM SHS | 15,000 | $37,000 | thousands by filing date | call |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 561 | $37,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 15,372 | $37,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 1,500 | $36,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 853 | $36,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 1,284 | $36,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 2,779 | $36,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 54,300 | $36,000 | thousands by filing date | call |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 51,000 | $36,000 | thousands by filing date | principal |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 110,000 | $35,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 712 | $35,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 6,901 | $35,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 3,697 | $35,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 17,975 | $35,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 12,221 | $35,000 | thousands by filing date | |
| 8X8 INC NEW | 282914AB6 | BOND | 39,000 | $35,000 | thousands by filing date | principal |
| LIMESTONE BANCORP INC | 53262L105 | COM | 2,629 | $35,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 4,600 | $34,000 | thousands by filing date | put |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 5,191 | $34,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 6,679 | $34,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 7,924 | $34,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 3,538 | $34,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,211 | $34,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 2,156 | $34,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 4,853 | $33,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,196 | $33,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 501 | $33,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 1,000 | $33,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 4,125 | $33,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,000 | $32,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 382,200 | $32,000 | thousands by filing date | call |
| EOG RES INC COM | 26875P101 | Stock | 144,200 | $32,000 | thousands by filing date | call |
| METHANEX CORP COM | 59151K108 | Stock | 1,766 | $32,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 7,600 | $32,000 | thousands by filing date | call |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 18,100 | $32,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 968 | $32,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 10,204 | $32,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 3,406 | $32,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 40,000 | $32,000 | thousands by filing date | principal |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 37,500 | $31,000 | thousands by filing date | call |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 8,241 | $31,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 11,892 | $31,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 7,620 | $31,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,156 | $31,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,150 | $31,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 20,500 | $30,000 | thousands by filing date | put |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 1,158 | $30,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 680 | $30,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,151 | $30,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 4,039 | $30,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 1,493 | $30,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 6,330 | $30,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 30,000 | $30,000 | thousands by filing date | principal |
| Costco Wholesale Corporation | 22160K105 | COM | 12,500 | $29,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 15,000 | $29,000 | thousands by filing date | put |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 7,800 | $29,000 | thousands by filing date | put |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 2,502 | $29,000 | thousands by filing date | |
| CREE INC | 225447AB7 | NOTE 0.875% 9/0 | 26,000 | $29,000 | thousands by filing date | principal |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 22,698 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,025 | $29,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 145,200 | $28,000 | thousands by filing date | put |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 77,000 | $28,000 | thousands by filing date | put |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 5,708 | $28,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 100,000 | $28,000 | thousands by filing date | call |
| OXFORD LANE CAP CORP | 691543102 | COM | 6,818 | $28,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 246 | $28,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 497 | $28,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 4,311 | $28,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $28,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,150 | $28,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 311 | $27,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 711 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,431 | $27,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 615 | $27,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 12,000 | $27,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 28,000 | $27,000 | thousands by filing date | principal |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 11,509 | $27,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 3,228 | $27,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 1,174 | $27,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 15,700 | $26,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 16,800 | $26,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 369 | $26,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 501 | $26,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 4,505 | $26,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 62,458 | $26,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 31,540 | $26,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 31,900 | $25,000 | thousands by filing date | put |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 989 | $25,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 186 | $25,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 56 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 987 | $25,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 30,000 | $25,000 | thousands by filing date | principal |
| JAWS ACQUISITION CORP | G50744120 | UNIT 99/99/9999 | 2,400 | $25,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 5,500 | $24,000 | thousands by filing date | call |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 7,964 | $24,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 3,979 | $24,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 665 | $24,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 26,640 | $24,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 2,084 | $24,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 2,000 | $24,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 11,500 | $24,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 541 | $23,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 789 | $23,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 2,100 | $23,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,677 | $23,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,700 | $23,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 5,940 | $23,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 10,300 | $23,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 11,180 | $23,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 18,461 | $23,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,340 | $23,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 6,505 | $23,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 24,000 | $23,000 | thousands by filing date | principal |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 25,000 | $23,000 | thousands by filing date | principal |
| COMPANHIA BRASILEIRA DE DISTRI | 20440T300 | SPONSORED ADR | 1,684 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 703 | $22,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 1,831 | $22,000 | thousands by filing date | |
| ONECONNECT FINL TECHNOLOGY C | 68248T105 | ADR | 1,200 | $22,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 3,930 | $22,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 1,760 | $22,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 903 | $21,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 1,082 | $21,000 | thousands by filing date | |
| TFI INTERNATIONAL INC COM | 87241L109 | Stock | 605 | $21,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 20,900 | $21,000 | thousands by filing date | call |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 12,600 | $21,000 | thousands by filing date | call |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 25,000 | $21,000 | thousands by filing date | put |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 898 | $21,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 27,200 | $21,000 | thousands by filing date | put |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 2,205 | $21,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 10,205 | $21,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 7,791 | $21,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 13,821 | $21,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 59,300 | $20,000 | thousands by filing date | put |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 669 | $20,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 12,100 | $20,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 971 | $20,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 147 | $20,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 12,039 | $20,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,021 | $20,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 2,016 | $20,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,946 | $20,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 4,877 | $20,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 110 | $19,000 | thousands by filing date | put |
| PPL CORP COM | 69351T106 | Stock | 10,800 | $19,000 | thousands by filing date | put |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,251 | $19,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 1,000 | $19,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 30,300 | $19,000 | thousands by filing date | put |
| INVESCO BULLETSHARES 2029 CORPORATE BOND ETF | 46138J577 | ETF | 899 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 630 | $19,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,319 | $19,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 9,900 | $19,000 | thousands by filing date | call |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 766 | $19,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 20,000 | $19,000 | thousands by filing date | principal |
| FORUM MERGER II CORP | 34986F111 | W EXP 09/30/202 | 4,000 | $19,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 25,045 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 19,000 | $19,000 | thousands by filing date | principal |
| Prologis,Inc. | 74340W103 | COM | 41,100 | $18,000 | thousands by filing date | call |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 8,900 | $18,000 | thousands by filing date | put |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 5,160 | $18,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 1,100 | $18,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 717 | $18,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,107 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 455 | $18,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,066 | $18,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,168 | $18,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 1,391 | $18,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 2,188 | $18,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 1,100 | $18,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 26,400 | $17,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 240,400 | $17,000 | thousands by filing date | call |
| EBAY INC. COM | 278642103 | Stock | 95,000 | $17,000 | thousands by filing date | put |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 100,000 | $17,000 | thousands by filing date | put |
| SNAP INC | 83304A106 | CL A | 7,400 | $17,000 | thousands by filing date | put |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 5,001 | $17,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 52,700 | $17,000 | thousands by filing date | call |
| INVESCO EXCH TRD SLF IDX FD | 46138J585 | BULETSHS 2027 | 721 | $17,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 900 | $17,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 50,000 | $17,000 | thousands by filing date | call |
| Coca-Cola Company | 191216100 | COM | 12,025 | $16,000 | thousands by filing date | put |
| McDonalds Corporation | 580135101 | COM | 139 | $16,000 | thousands by filing date | put |
| VERMILION ENERGY INC COM | 923725105 | Stock | 3,567 | $16,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 24,300 | $16,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 5,600 | $16,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 661 | $16,000 | thousands by filing date | |
| DRAFTKINGS INC | 26142R104 | COM CL A | 50,000 | $16,000 | thousands by filing date | call |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 926 | $16,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 7,020 | $16,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 4,425 | $16,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 520 | $16,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 1,409 | $16,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 1,990 | $16,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 11,577 | $16,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 616 | $16,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 5,516 | $16,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 1,000 | $16,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 1,600 | $16,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,070 | $16,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 3,100 | $15,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 602 | $15,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 5,700 | $15,000 | thousands by filing date | put |
| THL CREDIT INC | 872438106 | COM | 4,528 | $15,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 15,074 | $15,000 | thousands by filing date | |
| OPEN LENDING CORP | 68373J104 | COM | 1,000 | $15,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 401 | $15,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 12,555 | $15,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 2,000 | $15,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 4,431 | $15,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 441 | $15,000 | thousands by filing date | |
| INVESTMENT MANAGERS SER TR | 46143U849 | KNWLDL LD ETF | 424 | $15,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 6,316 | $15,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 3,301 | $14,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 302 | $14,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 15,000 | $14,000 | thousands by filing date | call |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 60,400 | $14,000 | thousands by filing date | call |
| OFS CAPITAL CORP | 67103B100 | COM | 3,201 | $14,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 4,955 | $14,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 5,535 | $14,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 3,023 | $14,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 2,067 | $14,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 43 | $14,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 6,658 | $14,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 860 | $14,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 549 | $14,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 474 | $14,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L100 | CL A | 500 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 587 | $14,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 11,500 | $13,000 | thousands by filing date | call |
| FIRST SOLAR INC COM | 336433107 | Stock | 7,400 | $13,000 | thousands by filing date | put |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 5,230 | $13,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 43,600 | $13,000 | thousands by filing date | put |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 6,031 | $13,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 24,067 | $13,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 1,049 | $13,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 1,431 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $13,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 2,287 | $13,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 470 | $13,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 31,190 | $13,000 | thousands by filing date | |
| KRANESHARES TR | 500767728 | LRG CAP QTY DIVD | 540 | $13,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $13,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 6,400 | $13,000 | thousands by filing date | put |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 1,502 | $13,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 18,037 | $13,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 37,300 | $12,000 | thousands by filing date | call |
| GAP INC COM | 364760108 | Stock | 24,100 | $12,000 | thousands by filing date | put |
| GENERAL MILLS INC COM | 370334104 | Stock | 38,100 | $12,000 | thousands by filing date | call |
| 3M CO COM | 88579Y101 | Stock | 1,300 | $12,000 | thousands by filing date | put |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 74,100 | $12,000 | thousands by filing date | put |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 627 | $12,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 1,698 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 460 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 351 | $12,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 867 | $12,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 638 | $12,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 2,585 | $12,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 715 | $12,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 968 | $12,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 5,607 | $12,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 17,542 | $12,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 5,459 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741JS59 | MTNF 5/2 | 12,000 | $12,000 | thousands by filing date | principal |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 100 | $11,000 | thousands by filing date | put |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,533 | $11,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 761 | $11,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 9,327 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 150 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 500 | $11,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 522 | $11,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 29,046 | $11,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 12,000 | $11,000 | thousands by filing date | principal |
| MCEWEN MNG INC | 58039P107 | COM | 10,804 | $11,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,444 | $11,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,039 | $11,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 744 | $11,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 7,000 | $11,000 | thousands by filing date | principal |
| VERICITY INC | 92347D100 | COM | 1,068 | $11,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 5,700 | $10,000 | thousands by filing date | put |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 3,806 | $10,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 17,700 | $10,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 312 | $10,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 1,102 | $10,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 2,318 | $10,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 225 | $10,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 1,001 | $10,000 | thousands by filing date | |
| CRESCENT CAP BDC INC | 225655109 | COM | 808 | $10,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 19,600 | $10,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 347 | $10,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 5,756 | $10,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 3,525 | $10,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 4,196 | $10,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,801 | $10,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,625 | $10,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 225 | $10,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 755 | $10,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 8,108 | $10,000 | thousands by filing date | |
| WIMI HOLOGRAM CLOUD INC | 97264L100 | SPON ADS CL B | 3,000 | $10,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 3,045 | $10,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 8 | $9,000 | thousands by filing date | put |
| NextEra Energy,Inc. | 65339F101 | COM | 10 | $9,000 | thousands by filing date | put |
| CITRIX SYSTEMS INC | 177376100 | COM | 6,500 | $9,000 | thousands by filing date | put |
| CAPITALA FIN CORP | 14054R106 | COM | 3,501 | $9,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 4,177 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 201 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $9,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 206 | $9,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 7,789 | $9,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 225 | $9,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 10,000 | $9,000 | thousands by filing date | principal |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 50,000 | $9,000 | thousands by filing date | call |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,375 | $9,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 566 | $9,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 13,595 | $9,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 336 | $9,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 1,631 | $9,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 3,225 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435U176 | IBONDS 22 TRM HG | 400 | $9,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 15,715 | $8,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 75,020 | $8,000 | thousands by filing date | put |
| FOX CORP CL A COM | 35137L105 | Stock | 39,400 | $8,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 5,900 | $8,000 | thousands by filing date | put |
| HALLIBURTON CO COM | 406216101 | Stock | 75,000 | $8,000 | thousands by filing date | put |
| ELANCO ANIMAL HEALTH INC COM | 28414H103 | Stock | 272,100 | $8,000 | thousands by filing date | call |
| ETF SER SOLUTIONS | 26922A388 | APTUS DEFINED | 255 | $8,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 1,499 | $8,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 7,274 | $8,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 1,174 | $8,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,234 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 368 | $8,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,060 | $8,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 1,246 | $8,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 296 | $8,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 151 | $8,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 1,350 | $8,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 8,814 | $8,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 20,813 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $8,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 7,428 | $8,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 2,102 | $8,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 12,000 | $8,000 | thousands by filing date | principal |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 2,315 | $8,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 10 | $7,000 | thousands by filing date | put |
| Amgen Inc. | 031162100 | COM | 10 | $7,000 | thousands by filing date | put |
| CLOROX CO DEL | 189054109 | COM | 118 | $7,000 | thousands by filing date | put |
| NISOURCE INC COM | 65473P105 | Stock | 13,500 | $7,000 | thousands by filing date | call |
| STANTEC INC COM | 85472N109 | Stock | 215 | $7,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 4,000 | $7,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 1,055 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 221 | $7,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,096 | $7,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 5,860 | $7,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 492 | $7,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 23,800 | $7,000 | thousands by filing date | put |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,427 | $7,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 1,557 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 141 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y327 | GLBX MSCI COLUM | 306 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 233 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 400 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 300 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 285 | $7,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 3,000 | $7,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 2,681 | $7,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,224 | $7,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 3,256 | $7,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,036 | $7,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 13,072 | $7,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 6,000 | $7,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAJ6 | NOTE 4.125% 9/1 | 9,000 | $7,000 | thousands by filing date | principal |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 544 | $7,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,047 | $7,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,872 | $6,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,997 | $6,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 4,700 | $6,000 | thousands by filing date | call |
| WAYFAIR INC | 94419L101 | CL A | 3,200 | $6,000 | thousands by filing date | put |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 37,700 | $6,000 | thousands by filing date | put |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 1,657 | $6,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 755 | $6,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 626 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 102 | $6,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 2,032 | $6,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 24,413 | $6,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,998 | $6,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,030 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 45 | $6,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,185 | $6,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,001 | $6,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 955 | $6,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 400 | $6,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 3,142 | $6,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 8,652 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 226 | $6,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 8,000 | $6,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 4,114 | $6,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,500 | $6,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 551 | $6,000 | thousands by filing date | |
| VISLINK TECHNOLOGIES INC COM NEW | 92836Y201 | Stock | 9,537 | $6,000 | thousands by filing date | |
| CANCER GENETICS INC | 13739U203 | COM NEW | 2,012 | $6,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 4,463 | $6,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 1,000 | $6,000 | thousands by filing date | principal |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 2,900 | $5,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 23 | $5,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 1,500 | $5,000 | thousands by filing date | call |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 15,800 | $5,000 | thousands by filing date | call |
| TWILIO INC CL A | 90138F102 | Stock | 2,200 | $5,000 | thousands by filing date | put |
| MICROVISION INC DEL | 594960304 | COM NEW | 3,756 | $5,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 498 | $5,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 2,100 | $5,000 | thousands by filing date | put |
| MEDLEY CAP CORP | 58503F106 | COM | 7,255 | $5,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 218 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 322 | $5,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,497 | $5,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 300 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 50 | $5,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 905 | $5,000 | thousands by filing date | |
| IDEAL PWR INC | 451622203 | COM NEW | 710 | $5,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 2,707 | $5,000 | thousands by filing date | |
| Youdao Inc - Adr | 98741T104 | COM | 135 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 171 | $5,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 581 | $5,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 7,420 | $5,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 1,000 | $5,000 | thousands by filing date | put |
| P & F INDS INC | 692830508 | CL A NEW | 1,007 | $5,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 1,557 | $5,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 866 | $5,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 501 | $5,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 635 | $5,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 1,000 | $5,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| SHIFTPIXY INC | 82452L203 | COM NEW | 1,003 | $5,000 | thousands by filing date | |
| AKOUOS INC | 00973J101 | COM | 200 | $5,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 3,613 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 158 | $5,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 15,642 | $5,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 4,900 | $4,000 | thousands by filing date | put |
| VWO | 922042858 | SHS | 281 | $4,000 | thousands by filing date | put |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 10,800 | $4,000 | thousands by filing date | put |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 100 | $4,000 | thousands by filing date | call |
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 |