13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-05, with 7,242 holding rows worth $362,077,450,000.
- Accession
- 0000072971-20-000356
- Filer
- CIK 72971
- Filed
- 2020-11-05
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 21,064 entries on the cover page, a total value of $362,077,450,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $362,077,450,000 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 Management, LLC028-11406
- included managerWells Fargo Funds Management, LLC reporting on behalf of Citigroup, Inc
- included managerWells Fargo Funds Management, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- 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 |
|---|---|---|---|---|---|---|
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 53,041 | $407,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 41,355 | $406,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 75,294 | $405,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 195,696 | $405,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 7,392 | $404,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 28,394 | $404,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 53,218 | $404,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 355,500 | $403,000 | thousands by filing date | call |
| ADMA BIOLOGICS INC | 000899104 | COM | 168,907 | $403,000 | thousands by filing date | |
| CHOICEONE FINANCIAL SVCS INC | 170386106 | COMMON STOCK | 15,443 | $403,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 15,161 | $403,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 43,203 | $402,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 203,000 | $402,000 | thousands by filing date | principal |
| FIRST CHOICE BANCORP | 31948P104 | COM | 30,259 | $402,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 28,355 | $401,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 91,710 | $400,000 | thousands by filing date | put |
| LOVESAC COMPANY | 54738L109 | COM | 14,443 | $400,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 35,933 | $400,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 18,690 | $400,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 25,445 | $398,000 | thousands by filing date | |
| NETSTREIT CORP | 64119V303 | COM | 21,623 | $395,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 35,910 | $394,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 52,062 | $394,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 159,186 | $394,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 33,864 | $394,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 64,196 | $394,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 148,892 | $393,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 183,790 | $393,000 | thousands by filing date | |
| ALLOVIR INC | 019818103 | COM | 14,254 | $392,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 21,921 | $391,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 34,929 | $391,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 27,338 | $391,000 | thousands by filing date | |
| INVESCO S&P 500 EQUAL WEIGHT ENERGY ETF | 46137V365 | ETF | 17,401 | $391,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 39,524 | $390,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 94,834 | $389,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 14,336 | $389,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 29,700 | $388,000 | thousands by filing date | call |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 24,736 | $388,000 | thousands by filing date | |
| GENASYS INC | 36872P103 | CMN | 62,921 | $387,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 7,910 | $385,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 68,600 | $384,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 13,376 | $383,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 35,210 | $382,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 45,788 | $382,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 2,911 | $381,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 153,747 | $381,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 22,407 | $381,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 266,533 | $381,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 45,405 | $379,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 68,800 | $379,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 385,000 | $379,000 | thousands by filing date | principal |
| ASTRONICS CORP COM | 046433108 | Stock | 48,826 | $378,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 85,823 | $376,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 22,261 | $376,000 | thousands by filing date | |
| NKARTA INC | 65487U108 | COMMON STOCK | 12,485 | $376,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 14,626 | $376,000 | thousands by filing date | |
| GEN DIGITAL INC COM | 668771108 | Stock | 155,700 | $375,000 | thousands by filing date | call |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 25,910 | $375,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 23,407 | $375,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 8,578 | $375,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 61,130 | $373,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 33,375 | $373,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 141,027 | $372,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 176,168 | $371,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 19,943 | $371,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 33,324 | $371,000 | thousands by filing date | |
| ACCOLADE INC | 00437E102 | COM | 9,510 | $370,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 279,600 | $369,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 70,105 | $369,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 17,025 | $369,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 51,023 | $369,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 11,685 | $368,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188408 | LOW DURTIN ETF | 7,178 | $367,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 65,016 | $367,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 559,209 | $366,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 33,027 | $366,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 183,200 | $365,000 | thousands by filing date | put |
| KOSMOS ENERGY LTD | 500688106 | COM | 374,467 | $365,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 27,944 | $365,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 36,387 | $364,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 51,116 | $364,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 12,599 | $364,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 47,375 | $364,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 28,381 | $363,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 43,131 | $362,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 14,886 | $362,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 20,895 | $362,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 21,730 | $362,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 40,190 | $362,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 30,289 | $361,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 15,243 | $361,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 144,688 | $360,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 36,671 | $360,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 30,040 | $359,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 7,098 | $359,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 69,539 | $359,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 16,100 | $358,000 | thousands by filing date | call |
| TEAM INC | 878155100 | COM | 65,136 | $358,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 30,324 | $357,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 125,000 | $356,000 | thousands by filing date | call |
| BOSTON SCIENTIFIC CORP | 101137206 | CONV | 3,181 | $356,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 50,000 | $355,000 | thousands by filing date | call |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 89,494 | $355,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 27,243 | $355,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 5,655 | $355,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 17,866 | $355,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 116,105 | $352,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 8,378 | $352,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 37,698 | $352,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 24,506 | $351,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 88,572 | $351,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 31,468 | $351,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 61,536 | $350,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 15,946 | $350,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 60,876 | $349,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 30,201 | $349,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 193,963 | $349,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N302 | CL A | 26,131 | $349,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 379,700 | $348,000 | thousands by filing date | put |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 36,800 | $348,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 28,676 | $348,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 39,260 | $347,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 33,388 | $347,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 21,188 | $347,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 9,388 | $347,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 16,609 | $347,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 19,256 | $346,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 56,352 | $344,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 32,913 | $344,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E644 | INTL BUYBACK | 10,949 | $344,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 12,491 | $343,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 61,120 | $342,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 57,189 | $342,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 167,967 | $341,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 59,900 | $340,000 | thousands by filing date | put |
| SB FINL GROUP INC | 78408D105 | COM | 25,122 | $339,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 6,586 | $338,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 29,713 | $338,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 8,592 | $335,000 | thousands by filing date | |
| ANNEXON INC | 03589W102 | COM | 11,064 | $334,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 31,250 | $334,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 25,894 | $334,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 82,798 | $334,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 47,887 | $333,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 100,000 | $331,000 | thousands by filing date | put |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 18,700 | $331,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 79,402 | $331,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 34,341 | $331,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 123,200 | $330,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 28,346 | $328,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 12,312 | $328,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 18,038 | $328,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 25,533 | $327,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 30,298 | $327,000 | thousands by filing date | |
| CONYERS PK II ACQUISITION CO | 212896104 | COM CL A | 32,131 | $326,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 57,336 | $325,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 26,409 | $324,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 50,000 | $323,000 | thousands by filing date | call |
| GAMCO INVS INC COM | 361438104 | COM | 27,997 | $323,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681113 | *W EXP 07/01/202 | 475,479 | $323,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 152,300 | $321,000 | thousands by filing date | put |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 49,317 | $321,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 10,564 | $321,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 27,931 | $321,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 26,052 | $320,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 72,290 | $320,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 17,575 | $320,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 27,136 | $320,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 52,798 | $320,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 11,519 | $320,000 | thousands by filing date | |
| REALPAGE INC | 75606NAB5 | NOTE | 220,000 | $320,000 | thousands by filing date | principal |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 28,117 | $319,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 332,903 | $318,000 | thousands by filing date | put |
| Texas Instruments Incorporated | 882508104 | COM | 237,500 | $318,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 4,329 | $318,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 13,774 | $317,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 149,938 | $316,000 | thousands by filing date | |
| PHATHOM PHARMACEUTICALS INC | 71722W107 | COMMON STOCK | 8,627 | $316,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 47,193 | $316,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 22,555 | $315,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784106 | CL A COM STK | 21,790 | $315,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 52,817 | $313,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 74,535 | $313,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 58,418 | $313,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 32,469 | $313,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 103,585 | $312,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 317,000 | $312,000 | thousands by filing date | principal |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 19,839 | $311,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 63,912 | $310,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 9,868 | $310,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 367,000 | $309,000 | thousands by filing date | put |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 24,928 | $309,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 105,600 | $308,000 | thousands by filing date | call |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 50,846 | $308,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 15,586 | $308,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 32,336 | $307,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 46,909 | $307,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 54,654 | $307,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 37,361 | $306,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 25,449 | $306,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 64,835 | $305,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 100,966 | $304,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 44,120 | $304,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 5,583 | $304,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 81,695 | $304,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 311,133 | $303,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 3,208 | $302,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 39,822 | $302,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 37,552 | $301,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V753 | FOOD & BEVERAGE | 9,182 | $301,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 25,279 | $301,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 41,557 | $301,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 123,233 | $301,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 22,914 | $300,000 | thousands by filing date | |
| APPLIED MOLECULAR TRANS INC | 03824M109 | COM | 9,431 | $300,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 58,223 | $300,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 142,568 | $300,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 15,284 | $299,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 44,438 | $298,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 15,699 | $298,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 12,370 | $298,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 266,000 | $296,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 294,000 | $296,000 | thousands by filing date | principal |
| FORRESTER RESH INC | 346563109 | COM | 8,994 | $295,000 | thousands by filing date | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 9,006 | $295,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 4,749 | $295,000 | thousands by filing date | |
| Canadian $ ETF | 46138T104 | ETF | 3,994 | $295,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 271,900 | $294,000 | thousands by filing date | call |
| TALOS ENERGY INC | 87484T108 | COM | 45,601 | $294,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 18,272 | $294,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 5,366 | $294,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 23,900 | $294,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 28,341 | $292,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 10,720 | $292,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q200 | COM NEW | 22,703 | $292,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 21,718 | $292,000 | thousands by filing date | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 160,950 | $292,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 435,000 | $291,000 | thousands by filing date | call |
| DHI GROUP INC | 23331S100 | COM | 128,666 | $291,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 4,631 | $291,000 | thousands by filing date | |
| GENERATION BIO CO | 37148K100 | COM | 9,397 | $291,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 205,233 | $291,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 5,605 | $290,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 21,833 | $289,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 2,473 | $289,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 9,088 | $288,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 69,247 | $288,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 60,000 | $287,000 | thousands by filing date | put |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 49,586 | $287,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 41,479 | $287,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 373,557 | $286,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 5,230 | $284,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 31,654 | $284,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 162,885 | $283,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 15,448 | $283,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 46,876 | $282,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 42,420 | $282,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 260,000 | $282,000 | thousands by filing date | principal |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 80,000 | $281,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 19,648 | $281,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 28,043 | $281,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 56,797 | $280,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 30,682 | $280,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 354,756 | $280,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 76,800 | $279,000 | thousands by filing date | call |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 16,563 | $279,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 68,500 | $278,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 429,942 | $278,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 21,318 | $278,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AB7 | NOTE 1.875% 8/1 | 275,000 | $278,000 | thousands by filing date | principal |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 13,048 | $278,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 44,269 | $278,000 | thousands by filing date | |
| ZENTALIS PHARMACEUTICALS INC | 98943L107 | COMMON STOCK | 8,450 | $276,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 50,307 | $276,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 85,192 | $274,000 | thousands by filing date | |
| ALX ONCOLOGY HOLDINGS INC | 00166B105 | COMMON STOCK | 7,258 | $274,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 265,000 | $274,000 | thousands by filing date | principal |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 64,905 | $272,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H207 | COM | 22,776 | $272,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 136,919 | $271,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 65,168 | $270,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 89,668 | $270,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 6,015 | $269,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 28,314 | $268,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 28,358 | $268,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 94,126 | $268,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 21,739 | $267,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 43,065 | $267,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 19,894 | $267,000 | thousands by filing date | |
| BENTLEY SYS INC COM CL B | 08265T208 | Stock | 8,470 | $266,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 5,019 | $266,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 26,987 | $266,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 7,970 | $266,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,283 | $265,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 157,300 | $265,000 | thousands by filing date | put |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 26,216 | $265,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 9,100 | $264,000 | thousands by filing date | put |
| MMA Capital Management LLC | 55315D105 | COM | 11,732 | $264,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 11,495 | $263,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 104,889 | $263,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 100,000 | $262,000 | thousands by filing date | put |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 46,580 | $262,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 42,000 | $261,000 | thousands by filing date | call |
| CENTURY CASINOS INC | 156492100 | COM | 47,618 | $261,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 7,946 | $261,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 9,700 | $260,000 | thousands by filing date | call |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 28,564 | $260,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 29,593 | $260,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 45,464 | $259,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 29,181 | $259,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 31,655 | $259,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 164,177 | $259,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 26,276 | $259,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 52,305 | $258,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 30,967 | $258,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 129,282 | $258,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 75,145 | $256,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 5,250 | $256,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 21,543 | $256,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 17,768 | $255,000 | thousands by filing date | |
| ATLAS CORP | Y0436Q109 | COM | 28,597 | $255,000 | thousands by filing date | |
| AKOUOS INC | 00973J101 | COM | 11,133 | $255,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 264,840 | $254,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 40,557 | $253,000 | thousands by filing date | |
| FS KKR CAP CORP II | 35952V303 | COM | 17,174 | $253,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 88,876 | $252,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 37,014 | $252,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 25,000 | $251,000 | thousands by filing date | put |
| CUSHING NEXTGEN INFRASTRUCTURE | 231647207 | COM | 9,350 | $251,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 8,317 | $251,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 72,095 | $251,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 21,296 | $251,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 18,001 | $251,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 20,536 | $251,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 16,058 | $251,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 18,367 | $250,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 16,877 | $250,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 169,877 | $250,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 6,330 | $249,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 27,735 | $249,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 162,864 | $249,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 270,000 | $248,000 | thousands by filing date | put |
| VASTA PLATFORM LTD CL A | G9440A109 | Stock | 16,000 | $247,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 11,008 | $246,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 20,075 | $246,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 138,800 | $245,000 | thousands by filing date | call |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 22,615 | $245,000 | thousands by filing date | |
| NATURA &CO HLDG S A | 63884N108 | ADR | 13,418 | $245,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L886 | COM | 16,493 | $244,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 92,090 | $244,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 341,800 | $243,000 | thousands by filing date | call |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 29,172 | $243,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 11,825 | $243,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 7,052 | $243,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 250,000 | $243,000 | thousands by filing date | principal |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 15,610 | $243,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 10,078 | $242,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 216,860 | $242,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 67,353 | $241,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765UAB9 | NOTE 0.750% 2/1 | 230,000 | $241,000 | thousands by filing date | principal |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 81,644 | $240,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 31,862 | $240,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 19,617 | $240,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 112,500 | $239,000 | thousands by filing date | call |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 53,065 | $239,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 32,905 | $239,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 34,613 | $239,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 12,980 | $239,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 126,600 | $238,000 | thousands by filing date | put |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 224,232 | $238,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 14,809 | $238,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 2,819 | $238,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 4,748 | $237,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 18,749 | $236,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 6,239 | $236,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 38,458 | $235,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 131,236 | $234,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 9,540 | $233,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 9,006 | $233,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 761,975 | $233,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 82,776 | $233,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 32,529 | $233,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 43,767 | $233,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 132,552 | $232,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 56,504 | $232,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 10,823 | $232,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 13,796 | $232,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 32,613 | $232,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V522 | BLOO AN RATI ETF | 5,765 | $230,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 37,765 | $229,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 53,803 | $229,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 10,683 | $229,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 24,429 | $229,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 103,650 | $229,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 30,154 | $229,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 43,570 | $228,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 24,211 | $228,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 252,507 | $227,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 6,945 | $227,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 20,000 | $226,000 | thousands by filing date | call |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 22,846 | $226,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 13,869 | $225,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 200,000 | $224,000 | thousands by filing date | put |
| ANAPTYSBIO INC | 032724106 | COM | 15,196 | $224,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 40,755 | $223,000 | thousands by filing date | |
| SPDR SER TR | 78468R556 | S&P OILGAS EXP | 2,500,000 | $223,000 | thousands by filing date | call |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 18,170 | $223,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 11,204 | $223,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 200,000 | $223,000 | thousands by filing date | principal |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 62,205 | $222,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 89,698 | $222,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 137,092 | $221,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 134,393 | $221,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 7,800 | $220,000 | thousands by filing date | call |
| QUANTUM CORP | 747906501 | COM | 47,871 | $220,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 16,879 | $219,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 11,454 | $219,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 64,256 | $219,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 721,900 | $218,000 | thousands by filing date | call |
| American Express Company | 025816109 | COM | 35,000 | $217,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 6,931 | $217,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 43,096 | $217,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 37,152 | $217,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 13,569 | $217,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 22,085 | $216,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 150,093 | $216,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 8,043 | $216,000 | thousands by filing date | |
| FLYING EAGLE ACQUISITION COR | 34407Y103 | COM | 17,750 | $216,000 | thousands by filing date | |
| ONTERRIS INC | 615111101 | COM | 8,981 | $214,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 35,399 | $214,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 123,628 | $214,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 88,000 | $213,000 | thousands by filing date | call |
| World Gold TR | 98149E204 | SPRD GLD Minis | 11,345 | $213,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 213,000 | $213,000 | thousands by filing date | principal |
| CONTURA ENERGY INC | 21241B100 | COM | 29,040 | $213,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 10,220 | $212,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 17,829 | $212,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 13,657 | $212,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 33,321 | $211,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 13,200 | $210,000 | thousands by filing date | put |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 33,272 | $210,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 19,780 | $209,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 27,160 | $209,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 30,446 | $207,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A130 | COM | 14,627 | $207,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 23,800 | $206,000 | thousands by filing date | put |
| OAK STR HEALTH INC | 67181A107 | COM | 3,856 | $206,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 101,862 | $206,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 18,905 | $205,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 510,700 | $204,000 | thousands by filing date | put |
| OIL STS INTL INC | 678026105 | COM | 74,499 | $204,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 2,299 | $204,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 8,234 | $204,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 18,922 | $203,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 134,265 | $203,000 | thousands by filing date | |
| PROSHARES TR | 74347B318 | S&P 500 BD ETF | 2,201 | $203,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 14,380 | $202,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 462,000 | $201,000 | thousands by filing date | call |
| XILINX INC | 983919101 | COM | 14,000 | $201,000 | thousands by filing date | call |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 36,746 | $201,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 10,682 | $201,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 10,300 | $201,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 24,500 | $201,000 | thousands by filing date | principal |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 21,552 | $200,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 18,938 | $200,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 23,653 | $199,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 5,290 | $199,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 22,000 | $198,000 | thousands by filing date | call |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 3,294 | $198,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 13,968 | $198,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 5,476 | $198,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 50,631 | $197,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 6,393 | $196,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 9,448 | $196,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 10,726 | $195,000 | thousands by filing date | |
| ITEOS THERAPEUTICS INC | 46565G104 | COM | 7,903 | $195,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 373,800 | $194,000 | thousands by filing date | put |
| EXICURE INC | 30205M101 | COM | 111,186 | $194,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 27,276 | $192,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 36,474 | $192,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 5,700 | $191,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 16,483 | $191,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 195,040 | $191,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 470,300 | $189,000 | thousands by filing date | put |
| CULP INC | 230215105 | CMN | 15,283 | $189,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 39,093 | $189,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 23,957 | $188,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 8,393 | $188,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 91,830 | $188,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 121,596 | $188,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 82,090 | $188,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 187,922 | $187,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 20,270 | $187,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 170,602 | $186,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 11,771 | $186,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 15,318 | $185,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 168,927 | $184,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 13,121 | $184,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 8,628 | $184,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 6,178 | $184,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-20-000356 | this filing | 2020-11-05 | acceptance time not in the bulk data set |