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 |
|---|---|---|---|---|---|---|
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 30,000 | $52,000 | thousands by filing date | put |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 10,704 | $52,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 3,351 | $51,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 1,651 | $51,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 55,000 | $51,000 | thousands by filing date | put |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 2,567 | $51,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 2,274 | $51,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G773 | WORK FROM HOME | 950 | $51,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 1,945 | $51,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 39,600 | $50,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 9,800 | $50,000 | thousands by filing date | put |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 17,300 | $50,000 | thousands by filing date | call |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 755 | $50,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 3,082 | $50,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 26,727 | $50,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 50,000 | $50,000 | thousands by filing date | principal |
| CENTOGENE N V | N1976T109 | COM | 5,266 | $50,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 5,777 | $50,000 | thousands by filing date | |
| EXECUTIVE NETWORK PARTNERING | 30158L209 | UNIT 99/99/9999 | 1,990 | $50,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189H888 | COAL ETF | 650 | $50,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 33,500 | $49,000 | thousands by filing date | put |
| TWITTER INC | 90184L102 | COM | 30,000 | $49,000 | thousands by filing date | put |
| NANO X IMAGING LTD | M70700105 | ORD SHS | 2,090 | $49,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 1,808 | $49,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 1,301 | $49,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 50,000 | $49,000 | thousands by filing date | principal |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 49,000 | $49,000 | thousands by filing date | principal |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 18,647 | $48,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 8,000 | $48,000 | thousands by filing date | principal |
| GRITSTONE BIO INC | 39868T105 | COM | 17,989 | $48,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 4,759 | $47,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 6,750 | $47,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 31,306 | $47,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W100 | COM CL A | 5,586 | $47,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439102 | CL A | 4,800 | $47,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 633 | $46,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 4,706 | $46,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 1,527 | $46,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 7,136 | $46,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 15,517 | $46,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 2,987 | $46,000 | thousands by filing date | |
| GOHEALTH INC | 38046W105 | COM CL A | 3,549 | $46,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 1,946 | $46,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 28,700 | $45,000 | thousands by filing date | call |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 2,074 | $45,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 1,541 | $45,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 12,248 | $45,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 5,143 | $45,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 131,000 | $44,000 | thousands by filing date | call |
| USA TODAY CO INC | 36472T109 | COM | 150,000 | $44,000 | thousands by filing date | call |
| BAXTER INTL INC | 071813109 | COM | 67,700 | $44,000 | thousands by filing date | put |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 1,922 | $44,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 4,250 | $44,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $44,000 | thousands by filing date | principal |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 2,862 | $44,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 10,004 | $44,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 1,996 | $44,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 500 | $43,000 | thousands by filing date | put |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 1,500 | $43,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 822 | $43,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 92,400 | $43,000 | thousands by filing date | call |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 12,700 | $43,000 | thousands by filing date | put |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 24,054 | $43,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J585 | BULETSHS 2027 | 1,751 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 567 | $43,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 4,001 | $43,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 8,559 | $43,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 1,129 | $43,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 2,372 | $43,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 4,609 | $42,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,001 | $42,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 1,780 | $42,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 1,070 | $42,000 | thousands by filing date | |
| GAN LTD | G3728V109 | SHS | 100,000 | $42,000 | thousands by filing date | put |
| GAN LTD | G3728V109 | SHS | 170,000 | $42,000 | thousands by filing date | call |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 2,368 | $42,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 7,457 | $41,000 | thousands by filing date | |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 2,630 | $41,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 2,504 | $41,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 10,173 | $41,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 45,400 | $41,000 | thousands by filing date | put |
| OLD POINT FINL CORP | 680194107 | COM | 2,679 | $41,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 2,000 | $41,000 | thousands by filing date | |
| ROCKET COS INC | 77311W101 | COM CL A | 25,000 | $40,000 | thousands by filing date | call |
| PACKAGING CORP AMER COM | 695156109 | Stock | 18,400 | $40,000 | thousands by filing date | call |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 3,375 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 1,600 | $40,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 9,064 | $40,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 4,351 | $40,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 50,000 | $40,000 | thousands by filing date | principal |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 31,976 | $40,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 3,012 | $40,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 56,020 | $40,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,316 | $39,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 1,298 | $39,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,317 | $39,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 8,089 | $39,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 82 | $39,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 934 | $39,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,604 | $39,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 734 | $38,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 15,000 | $38,000 | thousands by filing date | put |
| FIRST TR EXCH TRADED FD III | 33740J104 | ULTRA SHT DUR MU | 1,864 | $38,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 10,533 | $38,000 | thousands by filing date | |
| SYNTAX ETF TR | 87166N304 | STRATIFIED SMCP | 1,139 | $38,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 16,835 | $38,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 5,400 | $37,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 5,712 | $37,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 1,290 | $37,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 30,703 | $37,000 | thousands by filing date | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 4,166 | $37,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 6,510 | $37,000 | thousands by filing date | |
| SIBANYE STILLWATER LTD SPONSORED ADR | 82575P107 | ADR | 76,600 | $36,000 | thousands by filing date | put |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 119,500 | $36,000 | thousands by filing date | put |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 6,679 | $36,000 | thousands by filing date | |
| OPEN LENDING CORP | 68373J104 | COM | 1,390 | $36,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 11,064 | $36,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 9,089 | $36,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 22,216 | $36,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 5,858 | $36,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 10,850 | $36,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 1,875 | $35,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 2,922 | $35,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 130,000 | $35,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 1,703 | $35,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 4,801 | $35,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,195 | $35,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 501 | $35,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,109 | $35,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 1,573 | $35,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 7,817 | $34,000 | thousands by filing date | |
| HARMONY BIOSCIENCES HLDGS IN | 413197104 | COM | 1,000 | $34,000 | thousands by filing date | |
| 8X8 INC NEW | 282914AB6 | BOND | 39,000 | $34,000 | thousands by filing date | principal |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 23,063 | $34,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 489,900 | $33,000 | thousands by filing date | put |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 85,100 | $33,000 | thousands by filing date | call |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 7,347 | $33,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 1,621 | $33,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 14,215 | $32,000 | thousands by filing date | put |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 10,000 | $32,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 680 | $32,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 49,220 | $32,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 12,000 | $32,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941BAB2 | NOTE 0.375% 3/0 | 36,000 | $32,000 | thousands by filing date | principal |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 13,021 | $32,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 40,000 | $32,000 | thousands by filing date | principal |
| JAWS ACQUISITION CORP | G50744120 | UNIT 99/99/9999 | 2,900 | $32,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 24,000 | $31,000 | thousands by filing date | put |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 9,889 | $31,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,063 | $31,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 2,334 | $31,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 13,118 | $31,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 300,000 | $30,000 | thousands by filing date | call |
| International Business Machines Corporation | 459200101 | COM | 18,300 | $30,000 | thousands by filing date | call |
| METHANEX CORP COM | 59151K108 | Stock | 1,234 | $30,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 270,000 | $30,000 | thousands by filing date | put |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 1,158 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 710 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 839 | $30,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 1,493 | $30,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 1,737 | $30,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 2,117 | $30,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 14,193 | $29,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 400,000 | $29,000 | thousands by filing date | call |
| LOOP INDS INC | 543518104 | COM | 2,130 | $29,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 1,733 | $29,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 56 | $29,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 8,034 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,025 | $29,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 34,000 | $29,000 | thousands by filing date | principal |
| Uber Technologies | 90353T100 | COM | 65,100 | $28,000 | thousands by filing date | call |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 40,500 | $28,000 | thousands by filing date | put |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 387,500 | $28,000 | thousands by filing date | call |
| FATHOM HOLDINGS | 31189V109 | COM | 1,772 | $28,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 15,244 | $28,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,458 | $28,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,150 | $28,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 28,000 | $28,000 | thousands by filing date | principal |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 10,600 | $27,000 | thousands by filing date | put |
| DOW HLDGS INC COM | 260557103 | Stock | 101,200 | $27,000 | thousands by filing date | call |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 21,300 | $27,000 | thousands by filing date | put |
| ZENDESK INC | 98936J101 | COM | 20,000 | $27,000 | thousands by filing date | put |
| INVESCO BULLETSHARES 2029 CORPORATE BOND ETF | 46138J577 | ETF | 1,270 | $27,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,138 | $27,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M102 | COM CL A | 1,721 | $27,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 29,000 | $27,000 | thousands by filing date | principal |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 4,600 | $26,000 | thousands by filing date | put |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 3,452 | $26,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 8,349 | $26,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 3,680 | $26,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 3,360 | $26,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 3,475 | $26,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 6,871 | $26,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 12,602 | $26,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 62,658 | $26,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 3,227 | $26,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 6,793 | $26,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 350 | $25,000 | thousands by filing date | put |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 71,169 | $25,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 168 | $25,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,700 | $25,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 3,001 | $25,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 615 | $25,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 11,164 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 541 | $24,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 206 | $24,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 701 | $24,000 | thousands by filing date | |
| BEAM GLOBAL | 07373B109 | COM | 2,026 | $24,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 3,664 | $24,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 4,250 | $24,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K200 | COM | 2,402 | $24,000 | thousands by filing date | |
| NABORS INDS INC | 62957HAB1 | BOND | 140,000 | $24,000 | thousands by filing date | principal |
| GORES METROPOULOS INC | 382872109 | COM CL A | 2,100 | $24,000 | thousands by filing date | |
| PANDION THERAPEUTICS INC | 698340106 | COM | 2,074 | $24,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 4,000 | $24,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 184,400 | $23,000 | thousands by filing date | call |
| TFI INTERNATIONAL INC COM | 87241L109 | Stock | 541 | $23,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 38,500 | $23,000 | thousands by filing date | put |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,419 | $23,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 720 | $23,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 7,405 | $23,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 7,054 | $23,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 15,853 | $23,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 10,205 | $23,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 6,330 | $23,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,339 | $23,000 | thousands by filing date | |
| HEALTHCARE MERGER CORP | 42227L102 | COM CL A | 2,314 | $23,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 32,300 | $22,000 | thousands by filing date | put |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 4,700 | $22,000 | thousands by filing date | put |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,700 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 915 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,431 | $22,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 9,519 | $22,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,568 | $22,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q105 | COM CL A | 2,000 | $22,000 | thousands by filing date | |
| ICL GROUP LTD SHS | M53213100 | Stock | 6,010 | $21,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 5,300 | $21,000 | thousands by filing date | put |
| DRAFTKINGS INC | 26142R104 | COM CL A | 12,000 | $21,000 | thousands by filing date | put |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 3,227 | $21,000 | thousands by filing date | |
| IBEX LTD | G4690M101 | COMMON STOCK | 1,392 | $21,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 665 | $21,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 4,464 | $21,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 5,617 | $21,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 5,389 | $21,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 1,414 | $21,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 766 | $21,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 12,514 | $21,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 2,002 | $21,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R122 | W EXP 06/21/202 | 10,000 | $21,000 | thousands by filing date | |
| JAKKS PAC INC | 47012E403 | COM NEW | 5,390 | $20,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,651 | $20,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 50,000 | $20,000 | thousands by filing date | call |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 500 | $20,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 4,213 | $20,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,319 | $20,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 27,200 | $20,000 | thousands by filing date | put |
| GOLD STD VENTURES CORP | 380738104 | COM | 25,000 | $20,000 | thousands by filing date | |
| AMERICAN VRTUAL CLOUD TECH I | 030382105 | COM | 4,722 | $20,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 20,000 | $20,000 | thousands by filing date | principal |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $20,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 8,442 | $20,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 20,600 | $19,000 | thousands by filing date | put |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 645 | $19,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 4,060 | $19,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 28,500 | $19,000 | thousands by filing date | call |
| INVESCO BULLETSHARES 2029 MUNICIPAL BOND ETF | 46138J478 | ETF | 725 | $19,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 606 | $19,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2028 MUNICIPAL BOND ETF | 46138J486 | UIE | 725 | $19,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 717 | $19,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 5,065 | $19,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,020 | $19,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 15,403 | $19,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,066 | $19,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 616 | $19,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 47,800 | $18,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,501 | $18,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 1,731 | $18,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 2,200 | $18,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 700 | $18,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2026 MUNICIPAL BOND ETF | 46138J510 | UIE | 700 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R648 | SP KENSHO NEWEC | 425 | $18,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 1,271 | $18,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 8,025 | $18,000 | thousands by filing date | |
| ONECONNECT FINL TECHNOLOGY C | 68248T105 | ADR | 850 | $18,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 3,529 | $18,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 20,000 | $17,000 | thousands by filing date | call |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 4,000 | $17,000 | thousands by filing date | put |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 180,000 | $17,000 | thousands by filing date | call |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 7,186 | $17,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 5,001 | $17,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 2,211 | $17,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 2,616 | $17,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $17,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 50,000 | $17,000 | thousands by filing date | put |
| INVESCO | 46138J528 | EXCHANGE TRADED | 650 | $17,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 4,826 | $17,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 1,600 | $17,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C104 | CL A COM | 1,500 | $17,000 | thousands by filing date | |
| USCF ETF TR | 90290T601 | SUMERHAVEN PVT | 1,070 | $17,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 5,336 | $16,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 20,100 | $16,000 | thousands by filing date | call |
| NVIDIA Corp | 67066G104 | COM | 193,000 | $16,000 | thousands by filing date | put |
| PAN AMERN SILVER CORP | 697900108 | COM | 47,500 | $16,000 | thousands by filing date | put |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 632 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 661 | $16,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 17,100 | $16,000 | thousands by filing date | call |
| RIDENOW GROUP INC | 781386305 | COM CL B | 612 | $16,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 867 | $16,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $16,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 3,973 | $16,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 470 | $16,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,064 | $16,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 12,758 | $16,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 2,472 | $16,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 1,404 | $16,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 521 | $15,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 322,000 | $15,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 602 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 406 | $15,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 148,000 | $15,000 | thousands by filing date | put |
| USA TRUCK INC | 902925106 | COM | 1,603 | $15,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 441 | $15,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 5,761 | $15,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 9,000 | $15,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 473 | $15,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 546 | $14,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 39,100 | $14,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 302 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 707 | $14,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 658 | $14,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 860 | $14,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 2,587 | $14,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 2,000 | $14,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 2,754 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 587 | $14,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 804 | $13,000 | thousands by filing date | put |
| PPL CORP COM | 69351T106 | Stock | 16,900 | $13,000 | thousands by filing date | put |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 3,189 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 459 | $13,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,835 | $13,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 2,200 | $13,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 2,606 | $13,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 5,445 | $13,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRGY SHS BEN INT | 151461209 | CEF | 1,749 | $13,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872208 | UNIT 99/99/9999 | 1,000 | $13,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784122 | *W EXP 08/27/202 | 3,000 | $13,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 2,808 | $12,000 | thousands by filing date | put |
| IVLU | 46435G409 | COM | 589 | $12,000 | thousands by filing date | |
| XPENG INC ADS | 98422D105 | ADR | 600 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 287 | $12,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 311 | $12,000 | thousands by filing date | |
| LEGEND BIOTECH CORP | 52490G102 | SPONSORED ADS | 400 | $12,000 | thousands by filing date | |
| COMPASS PATHWAYS PLC | 20451W101 | SPONSORED ADS | 350 | $12,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 4,960 | $12,000 | thousands by filing date | |
| CUREVAC N V | N2451R105 | COM | 250 | $12,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 475 | $12,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,530 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 500 | $12,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 688 | $12,000 | thousands by filing date | |
| INVESCO | 46138J536 | EXCHANGE TRADED | 450 | $12,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 5,000 | $12,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 1,083 | $12,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,235 | $12,000 | thousands by filing date | |
| Greenpower Motor Co | 39540E302 | COM | 1,000 | $12,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 292 | $12,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P118 | *W EXP 03/13/202 | 5,000 | $12,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 10,855 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741JS59 | MTNF 5/2 | 12,000 | $12,000 | thousands by filing date | principal |
| CORNING INC | 219350105 | COM | 1,500 | $11,000 | thousands by filing date | call |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 3,000 | $11,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 93,900 | $11,000 | thousands by filing date | put |
| PPG INDS INC COM | 693506107 | Stock | 10,000 | $11,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 250 | $11,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 225 | $11,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 990 | $11,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 4,106 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $11,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 301 | $11,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,823 | $11,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 5,149 | $11,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 5,451 | $11,000 | thousands by filing date | |
| Invesco Bulletshares 2022 Munic | 46138J551 | Equities | 432 | $11,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 5,000 | $11,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 1,626 | $11,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 1,000 | $11,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 5,569 | $11,000 | thousands by filing date | |
| ONE UNIT | G7000X113 | Stock | 1,000 | $11,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 15,300 | $10,000 | thousands by filing date | call |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 371 | $10,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,203 | $10,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 30,000 | $10,000 | thousands by filing date | call |
| Concho Resources Inc. | 20605P101 | COM | 125,000 | $10,000 | thousands by filing date | call |
| CRESCENT CAP BDC INC | 225655109 | COM | 808 | $10,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 659 | $10,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 6,997 | $10,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 500 | $10,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 206 | $10,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 1,242 | $10,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 837 | $10,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 151 | $10,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 1,308 | $10,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 27,126 | $10,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 2,094 | $10,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 10,000 | $10,000 | thousands by filing date | principal |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 8,791 | $10,000 | thousands by filing date | |
| CHURCHILL CAP CORP III | 17144C104 | COM | 1,000 | $10,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 6,742 | $10,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP UNIT EX | G23726121 | Stock | 1,000 | $10,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,036 | $10,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 39 | $9,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 278 | $9,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 702 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 347 | $9,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 7,555 | $9,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 375 | $9,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,043 | $9,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 12,000 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 368 | $9,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 10,245 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 387 | $9,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 432 | $9,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 755 | $9,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 7,949 | $9,000 | thousands by filing date | |
| INVESCO | 46138J544 | EXCHANGE TRADED | 350 | $9,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 10,000 | $9,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAJ6 | NOTE 4.125% 9/1 | 9,000 | $9,000 | thousands by filing date | principal |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 12,000 | $9,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 127,400 | $8,000 | thousands by filing date | call |
| DOW HLDGS INC COM | 260557103 | Stock | 10,000 | $8,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,871 | $8,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 46,400 | $8,000 | thousands by filing date | call |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 31,700 | $8,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 252 | $8,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 3,904 | $8,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 2,075 | $8,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 517 | $8,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,225 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 239 | $8,000 | thousands by filing date | |
| Galiano Gold Inc | 36352H100 | COM | 5,438 | $8,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 234 | $8,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,059 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 286 | $8,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 275 | $8,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 3,001 | $8,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 353 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $8,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 16,805 | $8,000 | thousands by filing date | |
| ARTIUS ACQUISITION INC | 04316G204 | UNIT 99/99/9999 | 750 | $8,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,500 | $7,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 5,250 | $7,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 2,364 | $7,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 1,386 | $7,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 2,423 | $7,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 2,850 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 230 | $7,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,255 | $7,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 883 | $7,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 5,707 | $7,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,994 | $7,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 489 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 400 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 300 | $7,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 300 | $7,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 1,759 | $7,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,222 | $7,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 4,183 | $7,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 3,274 | $7,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 6,000 | $7,000 | thousands by filing date | principal |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 2,132 | $7,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 1,337 | $7,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 543 | $7,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 8,898 | $7,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 50,500 | $6,000 | thousands by filing date | call |
| DELL TECHNOLOGIES INC CL C | 24703L202 | Stock | 25,000 | $6,000 | thousands by filing date | call |
| STANTEC INC COM | 85472N109 | Stock | 216 | $6,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,996 | $6,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 4,370 | $6,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 2,725 | $6,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 5,120 | $6,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 382 | $6,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 501 | $6,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 1,656 | $6,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 4,241 | $6,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 50,000 | $6,000 | thousands by filing date | call |
| IDENTIV INC | 45170X205 | COM NEW | 901 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 101 | $6,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 581 | $6,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS | 00507W206 | COM | 569 | $6,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,132 | $6,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 4,951 | $6,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,001 | $6,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 26,900 | $6,000 | thousands by filing date | call |
| QNITY ELECTRONICS INC | 817323207 | COM | 1,000 | $6,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 5,694 | $6,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 601 | $6,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 3,000 | $6,000 | thousands by filing date | principal |
| DBX ETF TR | 233051408 | FUND | 225 | $6,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,036 | $6,000 | thousands by filing date | |
| WIMI HOLOGRAM CLOUD INC | 97264L100 | SPON ADS CL B | 1,000 | $6,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 5,383 | $6,000 | 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 |