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 |
|---|---|---|---|---|---|---|
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 18,308 | $791,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 49,397 | $790,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 57,926 | $788,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 32,699 | $788,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 72,677 | $786,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 19,902 | $783,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 51,031 | $783,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 313,817 | $781,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 158,646 | $780,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 42,840 | $776,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 10,640 | $776,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 139,543 | $775,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V712 | BLOO MVP MUL ETF | 8,764 | $775,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H805 | RARE EAR STR ETF | 22,673 | $774,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 29,971 | $773,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 260,373 | $773,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 68,459 | $773,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 14,014 | $771,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 85,158 | $771,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 205,013 | $771,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 92,111 | $768,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 800,000 | $768,000 | thousands by filing date | principal |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 42,088 | $767,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 43,918 | $767,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 32,847 | $767,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 49,699 | $765,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 48,445 | $765,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 126,202 | $765,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,015,000 | $765,000 | thousands by filing date | principal |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 67,008 | $764,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 74,320 | $762,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 64,202 | $761,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 4,992,000 | $761,000 | thousands by filing date | principal |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 42,402 | $760,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 40,230 | $760,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 32,240 | $758,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 27,685 | $758,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 43,480 | $758,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 196,466 | $757,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 22,978 | $755,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 30,147 | $755,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 27,158 | $753,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 30,465 | $750,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 70,649 | $749,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 23,793 | $746,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 97,406 | $746,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 78,962 | $745,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 89,429 | $744,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 40,062 | $740,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V159 | CMN | 19,598 | $739,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 116,377 | $738,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 50,771 | $736,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 74,350 | $734,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 157,720 | $733,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 168,677 | $732,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 35,447 | $732,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 60,065 | $731,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 32,593 | $728,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 121,666 | $728,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 93,976 | $727,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 10,220 | $727,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 20,050 | $726,000 | thousands by filing date | |
| RIVERNORTH FLEXIBLE MUN INCO | 76883H104 | COM | 37,000 | $726,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 49,214 | $724,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 44,075 | $723,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 17,204 | $723,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 45,129 | $722,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 55,415 | $721,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 141,235 | $720,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 26,925 | $720,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 9,265 | $720,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 2,661 | $719,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 92,976 | $719,000 | thousands by filing date | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 37,372 | $718,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 56,655 | $717,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 13,825 | $716,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 29,630 | $716,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 177,723 | $715,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 135,182 | $714,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 22,115 | $713,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 847,293 | $711,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 264,911 | $710,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 240,134 | $708,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 75,755 | $702,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 7,138 | $701,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 70,270 | $700,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 107,872 | $700,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 34,045 | $699,000 | thousands by filing date | |
| BRP INC COM SUN VTG | 05577W200 | Stock | 16,357 | $697,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 76,936 | $695,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 46,141 | $695,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 48,472 | $693,000 | thousands by filing date | |
| SPHERE ENTERTAINMENT CO CL A | 55826T102 | Stock | 9,209 | $691,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 82,257 | $691,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 32,932 | $690,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 89,791 | $689,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 86,488 | $688,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 61,090 | $685,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 56,290 | $685,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 91,256 | $685,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 67,862 | $684,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 27,317 | $683,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 19,200 | $682,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 44,233 | $681,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 51,196 | $678,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 43,851 | $677,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 84,501 | $677,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V381 | S&P500 EQL DIS | 7,613 | $676,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 45,427 | $676,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 64,376 | $676,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 9,220 | $674,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 105,336 | $672,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 44,386 | $672,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 57,944 | $671,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 16,526 | $671,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 27,647 | $671,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 33,265 | $670,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 250,086 | $670,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 143,132 | $670,000 | thousands by filing date | |
| INVESCO S&P 500 EQUAL WEIGHT ENERGY ETF | 46137V365 | ETF | 23,888 | $670,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 92,954 | $666,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 31,486 | $665,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 46,972 | $665,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 59,332 | $665,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 44,651 | $663,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 58,040 | $663,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 49,121 | $662,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 20,000 | $661,000 | thousands by filing date | call |
| XILINX INC | 983919101 | COM | 106,700 | $661,000 | thousands by filing date | put |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 17,171 | $660,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 67,892 | $659,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 633,325 | $659,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 53,197 | $659,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 124,323 | $655,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 113,230 | $652,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 46,258 | $652,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 116,007 | $651,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 94,954 | $650,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 3,864 | $648,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 79,458 | $648,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 59,458 | $647,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 125,276 | $645,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 153,704 | $645,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 87,774 | $643,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 173,600 | $642,000 | thousands by filing date | call |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 51,478 | $641,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 25,551 | $640,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 98,444 | $639,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 116,378 | $639,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 33,856 | $636,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 87,444 | $636,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 82,213 | $635,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 59,964 | $634,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 182,192 | $633,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 39,077 | $633,000 | thousands by filing date | |
| PROSHARES TR | 74347G804 | K-1 FREE CRD OIL | 17,245 | $632,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 39,933 | $632,000 | thousands by filing date | |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 9,455 | $631,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 66,357 | $631,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 153,357 | $627,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P603 | CMN | 23,656 | $626,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 60,251 | $624,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 79,756 | $624,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 52,850 | $623,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 264,200 | $623,000 | thousands by filing date | put |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 54,818 | $621,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 200,308 | $621,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 100,000 | $620,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 29,701 | $620,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 8,355 | $619,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 62,449 | $619,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 36,208 | $618,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 28,748 | $616,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 14,617 | $614,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 42,865 | $614,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 149,429 | $612,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 37,463 | $611,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 45,008 | $610,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 51,797 | $608,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 28,493 | $605,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 215,000 | $603,000 | thousands by filing date | put |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 27,781 | $603,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 46,425 | $603,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 223,000 | $602,000 | thousands by filing date | principal |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 16,696 | $601,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 77,170 | $601,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 8,637 | $601,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 12,219 | $601,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 61,956 | $600,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 39,820 | $599,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 41,465 | $598,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 19,532 | $598,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 38,857 | $598,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 212,200 | $597,000 | thousands by filing date | call |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 23,673 | $597,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 23,573 | $596,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 54,657 | $594,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 29,316 | $593,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 73,482 | $592,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 41,600 | $591,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 113,179 | $591,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 17,300 | $589,000 | thousands by filing date | call |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 18,374 | $589,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 21,423 | $588,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V191 | S&P MDCP400 VL | 11,648 | $588,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 83,912 | $587,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 72,118 | $587,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 46,032 | $586,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 3,959 | $585,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 23,929 | $585,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 37,167 | $584,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 36,595 | $584,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 422,356 | $583,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 431,315 | $582,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 392 | $582,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 94,320 | $581,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 80,264 | $581,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 118,508 | $581,000 | thousands by filing date | |
| BENEFYTT TECHNOLOGIES INC | 08182C106 | COM CL A | 28,407 | $581,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 33,377 | $580,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 15,911 | $580,000 | thousands by filing date | |
| SITIME CORP COM | 82982T106 | Stock | 12,210 | $579,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 47,705 | $578,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 51,465 | $577,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 83,440 | $576,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 31,930 | $576,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 38,238 | $574,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 16,950 | $573,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 70,746 | $572,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 24,526 | $571,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 21,784 | $570,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 23,891 | $570,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 68,199 | $568,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 52,162 | $567,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 9,875 | $567,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 41,442 | $566,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 44,662 | $565,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 88,597 | $564,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 16,837 | $564,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 176,398 | $564,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 55,162 | $563,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 36,144 | $561,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 246,079 | $561,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 36,478 | $561,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 15,868 | $561,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 34,021 | $561,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 194,067 | $558,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 765,000 | $558,000 | thousands by filing date | principal |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 48,505 | $557,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 166,481 | $556,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 35,550 | $555,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 322,058 | $554,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 622,879 | $554,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 69,217 | $552,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 62,408 | $552,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 173,544 | $552,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 41,055 | $552,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 22,450 | $551,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 30,868 | $550,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 23,648 | $549,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 22,012 | $548,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 21,976 | $548,000 | thousands by filing date | |
| THE BALDWIN INSURANCE GRP IN | 05589G102 | COM CL A | 31,678 | $547,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 54,668 | $546,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 21,868 | $545,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 271,019 | $545,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 19,670 | $544,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 192,734 | $542,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 24,889 | $542,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 154,199 | $541,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 241,746 | $541,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 65,487 | $539,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 33,939 | $539,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 181,440 | $539,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 46,032 | $539,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 53,078 | $536,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 59,982 | $535,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 20,690 | $535,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 19,876 | $535,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 223,016 | $535,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 113,502 | $534,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 41,442 | $533,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 28,025 | $533,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 21,334 | $532,000 | thousands by filing date | |
| INMODE LTD SHS | M5425M103 | Stock | 18,763 | $531,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 22,332 | $531,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 30,201 | $529,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 34,384 | $529,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 38,638 | $527,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 27,257 | $526,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 81,015 | $526,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 45,116 | $521,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 56,693 | $521,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 21,037 | $521,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 17,354 | $520,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 8,570 | $519,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 13,969 | $518,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 126,958 | $518,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 32,640 | $516,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 19,619 | $516,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 17,085 | $516,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 7,987 | $515,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 17,992 | $515,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 62,876 | $515,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 535,000 | $515,000 | thousands by filing date | principal |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 47,135 | $513,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 24,887 | $513,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 62,681 | $512,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 43,988 | $510,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 7,174 | $509,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 161,077 | $509,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 172,836 | $507,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 77,761 | $507,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G109 | CL A | 73,212 | $505,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 509,000 | $504,000 | thousands by filing date | principal |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 37,186 | $503,000 | thousands by filing date | |
| Canadian $ ETF | 46138T104 | ETF | 6,919 | $503,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 48,717 | $502,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 162,929 | $502,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 24,228 | $502,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 51,618 | $501,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 53,801 | $500,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 43,802 | $499,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 150,469 | $498,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 5,879 | $498,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 38,243 | $498,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 167,950 | $497,000 | thousands by filing date | |
| PACER FDS TR | 69374H709 | GLOBL CASH ETF | 19,664 | $496,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 35,346 | $495,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 54,001 | $495,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 83,417 | $494,000 | thousands by filing date | |
| TORTOISE ESSENTIAL ASSETS IN | 89148A103 | COM SH BEN INT | 44,217 | $494,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 36,471 | $493,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 47,100 | $492,000 | thousands by filing date | put |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 12,403 | $492,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 8,907 | $492,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 37,508 | $492,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 11,830 | $490,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 24,731 | $489,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 32,951 | $489,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 27,761 | $488,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Municipal Bond ETF | 46435U325 | ETF | 17,986 | $487,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 123,719 | $487,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 377,179 | $487,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 59,556 | $486,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 38,255 | $485,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 184,222 | $485,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 5,731 | $484,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 36,665 | $484,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 45,340 | $483,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 18,943 | $483,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 150,000 | $481,000 | thousands by filing date | put |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 27,936 | $480,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 21,506 | $480,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 259,183 | $480,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 24,264 | $478,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 4,502 | $477,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 34,199 | $476,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 103,600 | $476,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 285,343 | $474,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 97,932 | $474,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 99,724 | $474,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 32,109 | $474,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 47,383 | $474,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 13,404 | $473,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 10,773 | $473,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 68,524 | $472,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 16,854 | $472,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 10,479 | $471,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 79,130 | $471,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 7,177 | $471,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 10,128 | $471,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 77,841 | $471,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 62,948 | $469,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 479,000 | $469,000 | thousands by filing date | principal |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 27,600 | $468,000 | thousands by filing date | put |
| IES HOLDINGS INC | 44951W106 | COM | 20,232 | $468,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 13,358 | $467,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 20,909 | $466,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 41,085 | $466,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 229,396 | $465,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 207,455 | $465,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 55,718 | $465,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,600 | $464,000 | thousands by filing date | call |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 18,436 | $464,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 8,703 | $464,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 44,109 | $461,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 35,952 | $460,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 210,006 | $460,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 28,062 | $460,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 96,278 | $459,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 7,300 | $458,000 | thousands by filing date | call |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 37,232 | $458,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 17,666 | $457,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 147,213 | $457,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 38,076 | $457,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 109,739 | $457,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 61,117 | $455,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 18,755 | $455,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 104,320 | $454,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 14,103 | $454,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 33,427 | $453,000 | thousands by filing date | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 12,023 | $451,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 11,619 | $451,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 119,099 | $451,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 57,539 | $450,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 17,138 | $449,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 52,178 | $449,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 22,722 | $448,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 19,706 | $447,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 20,997 | $447,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 19,780 | $444,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 97,600 | $443,000 | thousands by filing date | call |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 50,885 | $443,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 101,639 | $442,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 29,830 | $440,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 127,271 | $440,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 37,545 | $438,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 45,098 | $437,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 15,851 | $437,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 566,152 | $437,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 337,413 | $435,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 26,215 | $435,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 49,203 | $435,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 47,468 | $435,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 25,678 | $434,000 | thousands by filing date | |
| REDFIN CORP | 75737FAA6 | NOTE 1.750% 7/1 | 295,000 | $434,000 | thousands by filing date | principal |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 45,458 | $433,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 9,006 | $433,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 17,431 | $433,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 62,884 | $432,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 11,934 | $432,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 112,657 | $432,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 60,551 | $431,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 21,688 | $430,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 62,300 | $429,000 | thousands by filing date | call |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 500,000 | $429,000 | thousands by filing date | principal |
| TEAM INC | 878155100 | COM | 76,890 | $428,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 31,732 | $427,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 19,123 | $427,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 215,200 | $426,000 | thousands by filing date | put |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 31,343 | $426,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 435,000 | $425,000 | thousands by filing date | call |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 33,115 | $425,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 123,061 | $423,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 72,979 | $423,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 46,971 | $422,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 58,723 | $422,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 29,039 | $422,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 30,651 | $421,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 8,794 | $421,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 57,402 | $420,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 557,950 | $419,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 23,168 | $418,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 23,853 | $418,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 203,000 | $418,000 | thousands by filing date | principal |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 600,000 | $417,000 | thousands by filing date | call |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 495,441 | $417,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 25,427 | $417,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 202,700 | $416,000 | thousands by filing date | call |
| Delek Logistics Partners LP | 24664T103 | Com | 18,152 | $416,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 10,767 | $415,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 29,135 | $415,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 105,270 | $414,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 194,374 | $414,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 47,000 | $413,000 | thousands by filing date | put |
| SPARK ENERGY INC | 846511103 | CL A COM | 58,367 | $413,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 35,715 | $411,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 36,989 | $410,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 12,768 | $409,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 12,669 | $409,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 31,685 | $409,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 29,294 | $409,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 24,657 | $409,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 184,262 | $408,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 14,828 | $408,000 | thousands by filing date | |
| BEAM THERAPEUTICS INC | 07373V105 | COM | 14,543 | $407,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 270,000 | $406,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 13,048 | $406,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 103,600 | $405,000 | thousands by filing date | put |
| ENERGY RECOVERY INC | 29270J100 | COM | 53,325 | $405,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 28,363 | $405,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 120,000 | $404,000 | thousands by filing date | put |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 36,334 | $403,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 40,111 | $403,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 7,152 | $403,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 74,616 | $402,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 123,387 | $401,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 22,674 | $401,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 175,000 | $401,000 | thousands by filing date | call |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 25,386 | $399,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 16,096 | $399,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 66,489 | $398,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 19,823 | $398,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 57,022 | $396,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 108,928 | $394,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 172,610 | $394,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 28,923 | $392,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 12,341 | $392,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 82,232 | $391,000 | 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 |