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 |
|---|---|---|---|---|---|---|
| COUNTY BANCORP INC | 221907108 | COM | 9,769 | $184,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 23,500 | $183,000 | thousands by filing date | put |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 37,111 | $183,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 2,622 | $183,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 16,107 | $183,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K123 | UNIT 99/99/9999 | 13,250 | $183,000 | thousands by filing date | |
| PLIANT THERAPEUTICS INC | 729139105 | COM | 8,042 | $182,000 | thousands by filing date | |
| VYNE THERAPEUTICS INC | 92941V100 | COM NEW | 109,391 | $181,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 3,163 | $180,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 13,830 | $179,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 12,956 | $178,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 11,513 | $178,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 16,707 | $178,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 37,714 | $178,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 25,723 | $178,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 3,471 | $176,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 12,859 | $176,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 4,466 | $176,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 02557T307 | UNIT 08/15/2023 | 3,600 | $176,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 9,000 | $175,000 | thousands by filing date | put |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 50,000 | $174,000 | thousands by filing date | put |
| SHARPSPRING INC | 820054104 | COM | 15,590 | $174,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 54,162 | $173,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 15,172 | $173,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 43,059 | $173,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 28,392 | $173,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 7,860 | $172,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 27,972 | $172,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 14,260 | $171,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 2,461 | $170,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 25,515 | $170,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 100,560 | $169,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 78,853 | $169,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 14,144 | $169,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 7,125 | $169,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 142,350 | $169,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 10,835 | $168,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 60,669 | $167,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 7,697 | $167,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 21,452 | $167,000 | thousands by filing date | |
| NEWPARK RES INC | 651718AE8 | NOTE 4.000%12/0 | 225,000 | $167,000 | thousands by filing date | principal |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 25,557 | $167,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 70,000 | $166,000 | thousands by filing date | call |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 11,138 | $166,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 6,367 | $166,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 8,953 | $166,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 3,300 | $165,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 154,159 | $165,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 31,283 | $165,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 2,229 | $164,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 13,054 | $164,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 9,522 | $164,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 344,799 | $164,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 2,923 | $163,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 5,376 | $163,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 41,675 | $163,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 3,997 | $163,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 8,802 | $162,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 20,521 | $162,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 45,622 | $162,000 | thousands by filing date | |
| TREAN INS GROUP INC | 89457R101 | COM | 10,586 | $162,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 27,222 | $162,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 18,366 | $162,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 174,000 | $162,000 | thousands by filing date | principal |
| VENTAS INC COM | 92276F100 | REIT | 95,400 | $161,000 | thousands by filing date | call |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 19,020 | $161,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 11,789 | $161,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 23,250 | $161,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 6,113 | $161,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 83,768 | $161,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 53,598 | $161,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 6,323 | $160,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 14,200 | $160,000 | thousands by filing date | call |
| CORMEDIX INC COM | 21900C308 | Stock | 26,597 | $160,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 71,238 | $160,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 55,534 | $160,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 29,007 | $160,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 175,000 | $160,000 | thousands by filing date | principal |
| STATE STREET SPDR S&P OIL & GAS EQUIPMENT & SERVICES ETF | 78468R549 | ETF | 5,655 | $159,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 32,873 | $159,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 90,368 | $159,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 11,736 | $157,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 3,516 | $157,000 | thousands by filing date | |
| CONMED CORP | 207410AF8 | BOND | 140,000 | $157,000 | thousands by filing date | principal |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 7,940 | $156,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 4,300 | $156,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 52,209 | $156,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 164,018 | $156,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 7,477 | $155,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 50,746 | $155,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 172,700 | $154,000 | thousands by filing date | put |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 50,757 | $154,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 27,600 | $153,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 57,244 | $153,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 50,879 | $153,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 95,000 | $153,000 | thousands by filing date | principal |
| SNAP INC | 83304A106 | CL A | 62,700 | $152,000 | thousands by filing date | call |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 25,587 | $151,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 8,044 | $150,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 27,709 | $150,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 21,094 | $149,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 40,000 | $148,000 | thousands by filing date | put |
| EXAGEN INC | 30068X103 | COM | 13,640 | $148,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 18,920 | $148,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 100,000 | $147,000 | thousands by filing date | put |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 13,286 | $147,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 53,131 | $147,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 3,763 | $147,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 153,000 | $147,000 | thousands by filing date | principal |
| FARMER BROS CO | 307675108 | COM | 33,100 | $146,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 37,267 | $146,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 11,847 | $145,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 4,008 | $145,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 27,600 | $144,000 | thousands by filing date | put |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 26,450 | $144,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 3,852 | $143,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 42,477 | $143,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 12,099 | $142,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 125,788 | $142,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 33,858 | $141,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 39,343 | $141,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 19,606 | $141,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 36,052 | $140,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 37,436 | $140,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 141,464 | $139,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 4,604 | $139,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 102,179 | $139,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 34,330 | $139,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 57,164 | $139,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 152,000 | $138,000 | thousands by filing date | put |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 5,987 | $138,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 2,167 | $137,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 16,286 | $137,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 12,280 | $137,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 9,784 | $137,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 10,337 | $136,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 12,829 | $136,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 103,100 | $135,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 2,777 | $135,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 92,673 | $135,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 8,585 | $135,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 28,486 | $135,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 31,992 | $135,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 17,900 | $134,000 | thousands by filing date | call |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 14,722 | $134,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 10,136 | $134,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 2,376 | $134,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 26,247 | $133,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 14,401 | $133,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 21,571 | $133,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 6,104 | $132,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 16,301 | $132,000 | thousands by filing date | |
| Vital Energy Inc | 516806205 | Common Stock | 13,418 | $131,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 13,220 | $130,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 61,802 | $130,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 44,181 | $130,000 | thousands by filing date | |
| INHIBRX INC | 45720L107 | COM | 7,200 | $130,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 86,677 | $130,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 4,266 | $129,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 3,903 | $129,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 29,100 | $129,000 | thousands by filing date | call |
| BANK7 CORP | 06652N107 | COMMON STOCK | 13,793 | $129,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 139,000 | $129,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y319 | CMN | 6,347 | $127,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 242,567 | $127,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 25,591 | $127,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 2,269 | $126,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 30,576 | $126,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 4,051 | $125,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 46,185 | $125,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION COM U | G9108L173 | SHS | 15,821 | $125,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 4,477 | $124,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 6,151 | $124,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 60,102 | $124,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 23,057 | $124,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 3,338 | $123,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 6,348 | $123,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 398,200 | $123,000 | thousands by filing date | call |
| GULF IS FABRICATION INC | 402307102 | COM | 39,454 | $123,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 14,326 | $122,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 600,000 | $121,000 | thousands by filing date | call |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 129,236 | $121,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 16,242 | $121,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,258 | $121,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 326,300 | $120,000 | thousands by filing date | put |
| SUMMIT THERAPEUTICS INC | 86627T108 | COM | 35,000 | $120,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 51,416 | $120,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 143,493 | $120,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,044 | $119,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 21,275 | $119,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 46,211 | $119,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 146,700 | $118,000 | thousands by filing date | call |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 10,032 | $118,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 4,686 | $118,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 16,540 | $117,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 13,142 | $117,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 10,904 | $117,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 14,840 | $117,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 7,825 | $117,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 83,486 | $116,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 120,000 | $116,000 | thousands by filing date | principal |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 29,970 | $115,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 5,455 | $115,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 12,693 | $115,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 65,000 | $115,000 | thousands by filing date | principal |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 14,332 | $113,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,373 | $113,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 3,100 | $113,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 6,616 | $113,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T202 | CMN | 4,271 | $113,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 1,568 | $112,000 | thousands by filing date | put |
| PIMCO MUN INCOME FD | 72200R107 | COM | 8,398 | $112,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 2,001 | $112,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 3,200 | $112,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 14,049 | $112,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 11,096 | $112,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 3,469 | $112,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 18,288 | $112,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 34,327 | $112,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 12,388 | $112,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC | 37959R103 | COM CL A | 5,396 | $111,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 10,371 | $110,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 1,501 | $110,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 2,829 | $110,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 395,583 | $110,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 7,680 | $110,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 115,400 | $109,000 | thousands by filing date | call |
| ULTRALIFE CORP | 903899102 | COM | 18,480 | $109,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 38,948 | $109,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 1,929 | $108,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 50,812 | $108,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 33,837 | $108,000 | thousands by filing date | |
| BLACKLINE INC | 09239BAB5 | NOTE 0.125% 8/0 | 80,000 | $108,000 | thousands by filing date | principal |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 88,708 | $108,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 200,992 | $108,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 40,000 | $107,000 | thousands by filing date | call |
| EVOLUS INC | 30052C107 | COM | 27,223 | $107,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 2,659 | $107,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 8,688 | $107,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 44,234 | $107,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 46,151 | $107,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 120,300 | $106,000 | thousands by filing date | put |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 14,972 | $106,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 4,115 | $106,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION COM | 03768F102 | CL A | 10,000 | $106,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 22,916 | $105,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 40,564 | $105,000 | thousands by filing date | |
| SOCIAL CAP HDOSPHIA HLDG CO | G8250T117 | UNIT 99/99/9999 | 5,000 | $105,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 2,689 | $104,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 16,488 | $104,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 12,080 | $104,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 72,000 | $103,000 | thousands by filing date | call |
| EMERALD HOLDING INC | 29103W104 | COM | 50,680 | $103,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 4,105 | $103,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 32,635 | $103,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 2,588 | $102,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 2,803 | $102,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 19,432 | $102,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 6,629 | $101,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 5,286 | $101,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 40,356 | $101,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 23,230 | $101,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 101,000 | $101,000 | thousands by filing date | principal |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 13,620 | $100,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 11,551 | $100,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 100,000 | $100,000 | thousands by filing date | principal |
| NETAPP INC COM | 64110D104 | Stock | 28,400 | $99,000 | thousands by filing date | put |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 11,081 | $99,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 42,054 | $99,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 2,474 | $99,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 124,062 | $99,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 9,987 | $99,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 4,000 | $98,000 | thousands by filing date | put |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 1,691 | $98,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 7,807 | $98,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 24,716 | $98,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 43,651 | $98,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 3,456 | $97,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 14,147 | $97,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 9,500 | $97,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 200,000 | $96,000 | thousands by filing date | call |
| BALL CORP | 058498106 | COM | 130,800 | $96,000 | thousands by filing date | put |
| FORTRESS VALUE ACQUISITION C | 34962V106 | COM CL A | 7,096 | $96,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 4,028 | $95,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 38,000 | $95,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 5,988 | $95,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 103,000 | $95,000 | thousands by filing date | principal |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 95,000 | $95,000 | thousands by filing date | principal |
| CARNIVAL PLC ADS | 14365C103 | ADR | 7,314 | $94,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 18,696 | $94,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 1,271 | $94,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 1,210 | $94,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 21,935 | $94,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 2,972 | $93,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 1,698 | $93,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 31,241 | $93,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 511,500 | $93,000 | thousands by filing date | put |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,400 | $93,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 18,503 | $93,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 21,637 | $93,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 75,778 | $92,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 45,495 | $92,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 42,738 | $92,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X105 | CL A | 6,410 | $92,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 149,482 | $91,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A118 | *W EXP 01/31/202 | 15,000 | $91,000 | thousands by filing date | |
| GS FIN CORP | 362273302 | MEDIUM TERM NTS | 465 | $91,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 22,149 | $91,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 16,400 | $89,000 | thousands by filing date | put |
| NIKOLA CORP | 654110105 | COM | 25,600 | $89,000 | thousands by filing date | call |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 13,244 | $89,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 42,488 | $89,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 1,072,500 | $88,000 | thousands by filing date | call |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 3,824 | $88,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,299 | $88,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 36,800 | $87,000 | thousands by filing date | call |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 8,502 | $87,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 24,738 | $87,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 87,000 | $87,000 | thousands by filing date | principal |
| VWO | 922042858 | SHS | 276,500 | $86,000 | thousands by filing date | call |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 18,100 | $86,000 | thousands by filing date | put |
| Pareteum Corporation | 69946T207 | COM | 127,843 | $86,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 90,000 | $86,000 | thousands by filing date | principal |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 10,882 | $85,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 35,750 | $85,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 52,533 | $84,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 20,000 | $83,000 | thousands by filing date | call |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 4,165 | $83,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 4,413 | $83,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 124,029 | $83,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,167 | $83,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 16,103 | $83,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 11,300 | $82,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 31,800 | $82,000 | thousands by filing date | call |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 19,622 | $82,000 | thousands by filing date | |
| MIND TECHNOLOGY INC COM NEW | 602566101 | Stock | 39,674 | $82,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 80,000 | $82,000 | thousands by filing date | principal |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 20,000 | $82,000 | thousands by filing date | principal |
| GAP INC COM | 364760108 | Stock | 57,200 | $81,000 | thousands by filing date | put |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 6,525 | $81,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 1,426 | $81,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 18,379 | $81,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 11,892 | $81,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 44,300 | $80,000 | thousands by filing date | put |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 11,500 | $80,000 | thousands by filing date | put |
| GEN DIGITAL INC COM | 668771108 | Stock | 255,400 | $80,000 | thousands by filing date | put |
| WENDYS CO COM | 95058W100 | Stock | 49,900 | $80,000 | thousands by filing date | call |
| BLINK CHARGING CO | 09354A100 | COM | 7,734 | $79,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 1,500 | $79,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 3,178 | $78,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $77,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 4,007 | $77,000 | thousands by filing date | |
| NATWEST GROUP PLC | 639057108 | COMMON STOCK-FO | 28,775 | $77,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 5,771 | $76,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 72,932 | $76,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 4,629 | $76,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 9,208 | $76,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 7,342 | $76,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 16,455 | $76,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 6,227 | $75,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 138,600 | $75,000 | thousands by filing date | put |
| Concho Resources Inc. | 20605P101 | COM | 6,000 | $75,000 | thousands by filing date | put |
| AVALARA INC | 05338G106 | COM | 50,200 | $75,000 | thousands by filing date | put |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 12,901 | $75,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 3,935 | $75,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 28,824 | $75,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 17,000 | $74,000 | thousands by filing date | call |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 4,414 | $74,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 12,482 | $74,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 21,045 | $74,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 56,405 | $74,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 2,709 | $73,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 2,553 | $73,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,451 | $73,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P553 | US CORE BOND ETF | 2,792 | $73,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 70,000 | $73,000 | thousands by filing date | principal |
| AG MTG INVT TR INC | 001228105 | COM | 26,056 | $73,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 5,474 | $72,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 26,709 | $72,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 6,950 | $72,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 140,195 | $72,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 594 | $71,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 35,000 | $71,000 | thousands by filing date | put |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 5,338 | $71,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 6,062 | $71,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 17,279 | $71,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 20,676 | $71,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328874 | COM NEW | 56,623 | $71,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 21,800 | $70,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 471,600 | $70,000 | thousands by filing date | put |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 843 | $70,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 18,511 | $70,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 33,900 | $69,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 2,531 | $69,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 356,300 | $69,000 | thousands by filing date | call |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $69,000 | thousands by filing date | principal |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 62,982 | $69,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 81,870 | $68,000 | thousands by filing date | |
| KENSINGTON CAP ACQUISITION C | 490073103 | COM CL A | 4,050 | $68,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 133,194 | $68,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 4,149 | $68,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 6,676 | $67,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 4,644 | $67,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,720 | $67,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 342 | $67,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 122,383 | $67,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,901 | $67,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 82,518 | $67,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 26,095 | $66,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 6,779 | $66,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 58,862 | $66,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 2,099 | $66,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 42,527 | $66,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 6,270 | $66,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 94,300 | $65,000 | thousands by filing date | call |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 60,000 | $65,000 | thousands by filing date | call |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 63,774 | $65,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,321 | $65,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 1,978 | $64,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 12,840 | $64,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 2,571 | $64,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 6,200 | $63,000 | thousands by filing date | put |
| Pfizer Inc. | 717081103 | COM | 183,415 | $63,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 1,782 | $63,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 13,089 | $63,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 77,690 | $63,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 36,135 | $63,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 48,000 | $63,000 | thousands by filing date | principal |
| Advanced Micro Devices,Inc. | 007903107 | COM | 25,000 | $62,000 | thousands by filing date | call |
| D R HORTON INC COM | 23331A109 | Stock | 80,000 | $62,000 | thousands by filing date | put |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 2,067 | $62,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 21,244 | $62,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 14,370 | $62,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 3,410 | $62,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 6,815 | $62,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 68,222 | $62,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 6,739 | $62,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 60,000 | $62,000 | thousands by filing date | principal |
| Cisco Systems,Inc. | 17275R102 | COM | 147,600 | $61,000 | thousands by filing date | call |
| ARAMARK COM | 03852U106 | Stock | 80,000 | $61,000 | thousands by filing date | put |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 4,091 | $61,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 11,092 | $61,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 2,055 | $61,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 24,745 | $61,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 29,148 | $61,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 17,200 | $60,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 821 | $60,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 2,008 | $60,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 60,533 | $60,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 22,955 | $59,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 2,019 | $59,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 9,267 | $59,000 | thousands by filing date | |
| LI AUTO INC SPONSORED ADS | 50202M102 | ADR | 3,330 | $58,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 2,033 | $58,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 23,115 | $58,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 67,369 | $58,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 553,700 | $57,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 889 | $57,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 1,000 | $57,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 11,263 | $57,000 | thousands by filing date | |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 61,000 | $57,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 48,000 | $57,000 | thousands by filing date | principal |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 15,230 | $56,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 4,006 | $56,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 8,227 | $56,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 4,006 | $56,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 17,490 | $56,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 6,767 | $56,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y691 | CMN | 1,315 | $56,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 7,351 | $56,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 40,738 | $56,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 100,000 | $55,000 | thousands by filing date | put |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,200 | $55,000 | thousands by filing date | call |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 14,200 | $55,000 | thousands by filing date | call |
| TEEKAY TANKERS LTD | Y8565N300 | CL A | 5,083 | $55,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 41,141 | $55,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 10,000 | $54,000 | thousands by filing date | put |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 8,200 | $54,000 | thousands by filing date | put |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 2,171 | $54,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 19,353 | $54,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 10,916 | $54,000 | thousands by filing date | |
| LISTED FDS TR | 53656F789 | ROUN SPOR BE ETF | 2,535 | $54,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,627 | $54,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 8,600 | $53,000 | thousands by filing date | call |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 12,926 | $53,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,996 | $53,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 359 | $53,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 15,796 | $53,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 50,000 | $53,000 | thousands by filing date | principal |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 6,896 | $53,000 | thousands by filing date | |
| INSURANCE ACQUISITION CORP | 457867109 | CL A | 4,500 | $53,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 5,300 | $52,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 64,900 | $52,000 | thousands by filing date | call |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 20,000 | $52,000 | thousands by filing date | put |
| AFLAC INC COM | 001055102 | Stock | 1,300 | $52,000 | thousands by filing date | put |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 7,071 | $52,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 1,843 | $52,000 | thousands by filing date | |
| PASSAGE BIO INC | 702712100 | COM | 3,971 | $52,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 60,363 | $52,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 96,348 | $52,000 | 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 |