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 |
|---|---|---|---|---|---|---|
| KINROSS GOLD CORP | 496902404 | COM | 179,725 | $1,585,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 183,265 | $1,584,000 | thousands by filing date | |
| PREMIER FINANCIAL CORP | 74052F108 | COMMON STOCK | 101,634 | $1,583,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 135,860 | $1,581,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 33,840 | $1,581,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 278,042 | $1,579,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 59,209 | $1,565,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 46,352 | $1,564,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 257,250 | $1,562,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 42,531 | $1,553,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 79,521 | $1,552,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 40,822 | $1,549,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 24,262 | $1,549,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 206,950 | $1,548,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 38,979 | $1,546,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 309,065 | $1,546,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 222,492 | $1,544,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 237,612 | $1,544,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 1,612,000 | $1,543,000 | thousands by filing date | principal |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 89,998 | $1,542,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 36,825 | $1,541,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 271,000 | $1,539,000 | thousands by filing date | call |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 65,820 | $1,538,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 312,790 | $1,533,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 40,940 | $1,529,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 141,828 | $1,529,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 10,035 | $1,528,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 76,259 | $1,528,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 48,092 | $1,527,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 526,300 | $1,526,000 | thousands by filing date | put |
| BRIDGEBIO PHARMA INC | 10806X102 | COM | 40,656 | $1,525,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 108,277 | $1,523,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 388,705 | $1,523,000 | thousands by filing date | |
| VIVINT SMART HOME INC | 928542109 | COMMON STOCK | 88,966 | $1,520,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 186,409 | $1,516,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 161,573 | $1,509,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 23,684 | $1,507,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 88,187 | $1,507,000 | thousands by filing date | |
| ONTRAK INC | 683373104 | COM | 25,074 | $1,505,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 73,155 | $1,503,000 | thousands by filing date | |
| AVIDITY BIOSCIENCES INC COM | 05370A108 | Stock | 53,367 | $1,502,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 70,481 | $1,499,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 9,561 | $1,498,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 37,201 | $1,498,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 183,020 | $1,495,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 47,085 | $1,495,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 45,639 | $1,494,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 145,590 | $1,493,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 176,474 | $1,489,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 115,000 | $1,488,000 | thousands by filing date | call |
| PDC ENERGY INC | 69327R101 | COM | 120,038 | $1,488,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 101,253 | $1,486,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 89,952 | $1,485,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 208,494 | $1,484,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 132,100 | $1,476,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 114,675 | $1,475,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 193,482 | $1,475,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 149,479 | $1,473,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 29,358 | $1,472,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 221,214 | $1,472,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 281,704 | $1,472,000 | thousands by filing date | |
| CIMPRESS PLC | G2143T103 | SHS EURO | 19,527 | $1,467,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 40,555 | $1,467,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 107,621 | $1,462,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 124,422 | $1,462,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L100 | CL A | 29,329 | $1,461,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAH1 | NOTE 1.500% 6/1 | 1,500,000 | $1,460,000 | thousands by filing date | principal |
| GORMAN RUPP CO COM | 383082104 | Stock | 49,497 | $1,458,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 88,946 | $1,458,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 105,310 | $1,458,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 134,284 | $1,458,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 238,825 | $1,455,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 51,500 | $1,454,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 389,684 | $1,453,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 124,631 | $1,449,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 34,029 | $1,446,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 27,536 | $1,445,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 372,123 | $1,445,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 614,000 | $1,445,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 542,700 | $1,444,000 | thousands by filing date | put |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 696,000 | $1,443,000 | thousands by filing date | principal |
| BRIGHTCOVE INC | 10921T101 | COM | 140,743 | $1,441,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 128,127 | $1,438,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 361,033 | $1,437,000 | thousands by filing date | |
| THE BALDWIN INSURANCE GRP IN | 05589G102 | COM CL A | 57,468 | $1,433,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 246,275 | $1,433,000 | thousands by filing date | |
| NIKOLA CORP | 654110105 | COM | 69,882 | $1,431,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 558,835 | $1,430,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 325,977 | $1,430,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 73,400 | $1,429,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189H805 | RARE EAR STR ETF | 37,861 | $1,428,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 5,816 | $1,426,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 143,318 | $1,426,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 62,126 | $1,425,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 149,794 | $1,424,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 44,295 | $1,423,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 33,706 | $1,423,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 41,340 | $1,418,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 117,554 | $1,417,000 | thousands by filing date | |
| HESS MIDSTREAM LP | 428103105 | CL A SHS | 93,671 | $1,415,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 1,500,500 | $1,408,000 | thousands by filing date | principal |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 74,899 | $1,408,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 55,798 | $1,407,000 | thousands by filing date | |
| RELAY THERAPEUTICS INC COM | 75943R102 | Stock | 33,016 | $1,406,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 137,290 | $1,403,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 149,200 | $1,400,000 | thousands by filing date | put |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 92,880 | $1,397,000 | thousands by filing date | |
| HUDSON LTD | G46408103 | COM CL A | 183,757 | $1,395,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 267,001 | $1,393,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 91,704 | $1,393,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 32,599 | $1,391,000 | thousands by filing date | |
| SCHRODINGER INC COM | 80810D103 | Stock | 29,234 | $1,389,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 113,716 | $1,388,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 138,921 | $1,381,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 72,334 | $1,381,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 222,076 | $1,377,000 | thousands by filing date | |
| BLACKROCK CAP ALLOCATION TER | 09260U109 | COM | 67,087 | $1,373,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 166,447 | $1,373,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 107,890 | $1,373,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 82,393 | $1,372,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 1,203,000 | $1,371,000 | thousands by filing date | principal |
| INOGEN INC | 45780L104 | COM | 47,225 | $1,369,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 141,873 | $1,368,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 25,221 | $1,368,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 138,375 | $1,366,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 143,096 | $1,362,000 | thousands by filing date | |
| RPT REALTY | 74971D101 | SH BEN INT | 250,221 | $1,361,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 46,644 | $1,356,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 35,000 | $1,350,000 | thousands by filing date | call |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 58,367 | $1,350,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 92,087 | $1,349,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 16,444 | $1,347,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 17,421 | $1,346,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 1,701,000 | $1,345,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 33,468 | $1,343,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 97,636 | $1,343,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 140,245 | $1,342,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 221,023 | $1,338,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 52,310 | $1,335,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Municipal Bond ETF | 46435U325 | ETF | 48,861 | $1,334,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 123,288 | $1,332,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 85,059 | $1,330,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 26,410 | $1,329,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 552,907 | $1,328,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 166,113 | $1,327,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 173,022 | $1,327,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 66,588 | $1,323,000 | thousands by filing date | |
| RIVERNORTH FLEXIBLE MUN INCO | 76883H104 | COM | 65,001 | $1,322,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 127,860 | $1,322,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 1,525,800 | $1,314,000 | thousands by filing date | put |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 34,945 | $1,314,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 10,019 | $1,312,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 42,250 | $1,312,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 90,568 | $1,310,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 759,000 | $1,310,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 42,345 | $1,305,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 13,985 | $1,303,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 44,931 | $1,302,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 1,358,000 | $1,302,000 | thousands by filing date | principal |
| SEABOARD CORP DEL | 811543107 | COM | 457 | $1,297,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 79,604 | $1,296,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 87,087 | $1,293,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 189,051 | $1,293,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 116,198 | $1,292,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 2,337,100 | $1,287,000 | thousands by filing date | call |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 133,188 | $1,286,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 43,485 | $1,282,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 1,115,500 | $1,282,000 | thousands by filing date | principal |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 114,077 | $1,281,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q106 | COMMON STOCK | 119,581 | $1,281,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 50,870 | $1,279,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 102,244 | $1,275,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 800,708 | $1,273,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 103,833 | $1,273,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 372,999 | $1,272,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 67,975 | $1,272,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 166,811 | $1,269,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 226,458 | $1,264,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 12,950 | $1,260,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 37,261 | $1,251,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 192,228 | $1,251,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 135,891 | $1,250,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 5,778,600 | $1,249,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 92,357 | $1,247,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 25,435 | $1,242,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 224,533 | $1,240,000 | thousands by filing date | |
| ROYALTY PHARMA PLC | G7709Q104 | SHS CLASS A | 29,399 | $1,237,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 40,365 | $1,237,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 478,500 | $1,236,000 | thousands by filing date | put |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 99,279 | $1,236,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 16,935 | $1,234,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 190,934 | $1,233,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 66,898 | $1,231,000 | thousands by filing date | |
| NURIX THERAPEUTICS INC | 67080M103 | COMMON STOCK | 35,246 | $1,230,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 81,316 | $1,230,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 389,952 | $1,229,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 45,000 | $1,228,000 | thousands by filing date | call |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 137,402 | $1,226,000 | thousands by filing date | |
| KINGSOFT CLOUD HLDGS LTD ADS | 49639K101 | ADR | 41,499 | $1,225,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 19,760 | $1,225,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 352,700 | $1,224,000 | thousands by filing date | call |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 590,300 | $1,222,000 | thousands by filing date | call |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 70,916 | $1,218,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 44,532 | $1,218,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 14,310 | $1,214,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 109,525 | $1,214,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 208,028 | $1,213,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 40,735 | $1,211,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 102,400 | $1,210,000 | thousands by filing date | call |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 126,886 | $1,207,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 26,973 | $1,203,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 166,496 | $1,202,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 238,508 | $1,200,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 23,712 | $1,199,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 42,362 | $1,197,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V886 | S&P500 EX-RATE | 15,770 | $1,197,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 634,147 | $1,192,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 72,432 | $1,192,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 124,374 | $1,190,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 83,919 | $1,189,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 157,331 | $1,188,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 213,749 | $1,185,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 42,208 | $1,185,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 88,589 | $1,184,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 129,753 | $1,183,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 73,686 | $1,179,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 93,060 | $1,179,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 25,318 | $1,176,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 118,216 | $1,175,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 42,624 | $1,174,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 89,189 | $1,171,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 93,659 | $1,170,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 105,720 | $1,169,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 119,316 | $1,167,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 31,657 | $1,166,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 28,735 | $1,165,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 48,144 | $1,163,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 7,641 | $1,162,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 121,792 | $1,159,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 118,520 | $1,156,000 | thousands by filing date | |
| JFROG LTD ORD SHS | M6191J100 | Stock | 13,623 | $1,154,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 31,077 | $1,154,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 83,815 | $1,153,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 42,029 | $1,152,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 70,835 | $1,152,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 147,998 | $1,147,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V340 | S&P500 EQL FIN | 30,081 | $1,146,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 113,192 | $1,145,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 732,500 | $1,145,000 | thousands by filing date | principal |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 135,290 | $1,144,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 119,703 | $1,144,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 74,260 | $1,144,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 67,491 | $1,142,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 40,450 | $1,140,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 82,399 | $1,140,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 98,275 | $1,136,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP TOTAL R | 18469Q207 | COM | 113,236 | $1,134,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 67,899 | $1,134,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 138,095 | $1,132,000 | thousands by filing date | |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 40,192 | $1,129,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 13,863 | $1,129,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 239,270 | $1,128,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 195,320 | $1,127,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 110,236 | $1,122,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 44,746 | $1,121,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 59,204 | $1,121,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 69,234 | $1,121,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 74,434 | $1,121,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 79,983 | $1,121,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 139,652 | $1,118,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 18,879 | $1,118,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 98,927 | $1,118,000 | thousands by filing date | |
| ISHARES TR | 46435U176 | IBONDS 22 TRM HG | 46,991 | $1,117,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 130,777 | $1,113,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 35,450 | $1,113,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 81,056 | $1,111,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 16,072 | $1,110,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 97,884 | $1,110,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 17,076 | $1,108,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 225,748 | $1,108,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 52,766 | $1,107,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 104,034 | $1,106,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 157,000 | $1,105,000 | thousands by filing date | call |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 228,478 | $1,105,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 132,513 | $1,103,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 36,039 | $1,102,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502846 | UNIT 11/15/2022 | 10,906 | $1,100,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 29,127 | $1,098,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 258,577 | $1,091,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 25,311 | $1,090,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 124,661 | $1,090,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 131,525 | $1,089,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 45,460 | $1,089,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 100,000 | $1,088,000 | thousands by filing date | put |
| Allegiance Bancshares | 01748H107 | COM | 46,508 | $1,087,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 107,391 | $1,086,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 4,500 | $1,084,000 | thousands by filing date | call |
| GOGO INC | 38046C109 | COM | 117,366 | $1,084,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 56,944 | $1,080,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 41,696 | $1,078,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 79,253 | $1,077,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 30,924 | $1,074,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 69,926 | $1,074,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 74,748 | $1,073,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 123,566 | $1,073,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 27,808 | $1,072,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 6,601 | $1,070,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 140,218 | $1,069,000 | thousands by filing date | |
| ORIGIN BANCORP INC | 68621T102 | COMMON STOCK | 50,034 | $1,068,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 473,541 | $1,065,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 112,478 | $1,064,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 133,350 | $1,063,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 15,344 | $1,058,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 70,924 | $1,055,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 81,954 | $1,055,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 29,088 | $1,054,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 74,622 | $1,054,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 89,087 | $1,054,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 48,973 | $1,051,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 54,696 | $1,051,000 | thousands by filing date | |
| FS KKR CAP CORP | 302635206 | COM | 66,215 | $1,050,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 58,261 | $1,045,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 90,715 | $1,044,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 52,735 | $1,044,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 926,000 | $1,044,000 | thousands by filing date | principal |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 51,542 | $1,044,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 23,684 | $1,043,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 41,541 | $1,041,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 49,533 | $1,041,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 1,007,500 | $1,041,000 | thousands by filing date | principal |
| FRANKLIN TEMPLETON ETF TR | 35473P603 | CMN | 39,019 | $1,038,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 424,875 | $1,037,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 65,455 | $1,037,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 76,363 | $1,036,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 31,033 | $1,036,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 1,053,500 | $1,036,000 | thousands by filing date | principal |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 78,144 | $1,035,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 70,729 | $1,033,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 72,885 | $1,033,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 382,404 | $1,033,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 80,933 | $1,032,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 84,620 | $1,031,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 168,589 | $1,031,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 220,500 | $1,029,000 | thousands by filing date | call |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 613,900 | $1,029,000 | thousands by filing date | put |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 101,888 | $1,028,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 50,772 | $1,027,000 | thousands by filing date | |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 12,527 | $1,025,000 | thousands by filing date | |
| SITIME CORP COM | 82982T106 | Stock | 12,169 | $1,023,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 53,477 | $1,021,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 57,209 | $1,021,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 96,666 | $1,020,000 | thousands by filing date | |
| ALTERYX INC | 02156BAD5 | BOND | 1,015,000 | $1,016,000 | thousands by filing date | principal |
| AC IMMUNE SA | H00263105 | SHS | 207,945 | $1,015,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 1,000,000 | $1,015,000 | thousands by filing date | principal |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 277,270 | $1,014,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 515,241 | $1,010,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 89,314 | $1,010,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 175,903 | $1,009,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 113,900 | $1,007,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 14,082 | $1,003,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 61,028 | $1,003,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 19,121 | $1,002,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886TAJ1 | NOTE 1.750% 6/0 | 1,067,000 | $1,002,000 | thousands by filing date | principal |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 100,740 | $999,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 60,356 | $999,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 87,621 | $995,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 50,645 | $995,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 98,577 | $995,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 49,846 | $993,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 72,103 | $992,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 59,379 | $991,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 115,375 | $986,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 96,767 | $986,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 157,717 | $985,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 34,680 | $983,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 349,300 | $983,000 | thousands by filing date | put |
| ORION S.A. | L72967109 | COM | 78,361 | $981,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 135,870 | $979,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 816,500 | $977,000 | thousands by filing date | principal |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 54,295 | $974,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 104,136 | $974,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 74,008 | $973,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 11,609 | $969,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 126,673 | $968,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 35,149 | $967,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 7,150 | $967,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 78,097 | $967,000 | thousands by filing date | |
| GRAFTECH INTL LTD | 384313508 | COM | 141,115 | $966,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 16,133 | $966,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 557,068 | $964,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 71,304 | $964,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 46,437 | $963,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 86,537 | $960,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 11,774 | $960,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 75,244 | $959,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 11,564 | $957,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 222,826 | $954,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 117,806 | $951,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 54,563 | $951,000 | thousands by filing date | |
| DESIGNER BRANDS INC | 250565108 | CL A | 175,064 | $950,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 92,509 | $949,000 | thousands by filing date | put |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 56,293 | $946,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 224,313 | $945,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 943,419 | $944,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 147,127 | $941,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 44,934 | $940,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 75,893 | $940,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 88,191 | $940,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 1,730,100 | $939,000 | thousands by filing date | put |
| GENESCO INC | 371532102 | COM | 43,539 | $939,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 5,204 | $938,000 | thousands by filing date | put |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 136,373 | $937,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 7,884 | $936,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 303,500 | $934,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 8,776 | $933,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 18,096 | $933,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 246,857 | $928,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 230,097 | $926,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 62,775 | $926,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 71,707 | $926,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 98,352 | $926,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 78,343 | $926,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 50,108 | $925,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 33,626 | $923,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 23,910 | $923,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 52,370 | $922,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 170,517 | $921,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U101 | COM | 82,075 | $920,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 375,167 | $919,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 78,605 | $919,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 254,926 | $918,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 189,798 | $917,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 50,953 | $917,000 | thousands by filing date | |
| MASTERCRAFT BOAT HOLDINGS IN | 57637H103 | COMMON STOCK | 52,384 | $917,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 51,154 | $917,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 129,179 | $915,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 10,443 | $914,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 237,374 | $911,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 48,454 | $906,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 61,185 | $906,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 12,900 | $905,000 | thousands by filing date | call |
| TWIN RIV WORLDWIDE HLDGS INC | 90171V204 | COM | 34,477 | $905,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 29,350 | $904,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 78,163 | $904,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 303,682 | $902,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 184,743 | $897,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 241,012 | $895,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 63,204 | $893,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 11,179 | $893,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 133,822 | $890,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K107 | COM CL A | 71,314 | $889,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 205,336 | $887,000 | thousands by filing date | |
| BANK FIRST CORP | 06211J100 | COM | 15,082 | $886,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 84,100 | $886,000 | thousands by filing date | |
| ALTABANCORP | 021347109 | COM | 44,021 | $886,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 35,929 | $885,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 27,004 | $885,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 184,450 | $884,000 | thousands by filing date | |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 926,000 | $884,000 | thousands by filing date | principal |
| INVESCO EXCH TRADED FD TR II | 46138E123 | S&P SMLCP INDL | 14,078 | $881,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 40,547 | $879,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 16,476 | $876,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 29,471 | $875,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 4,727,500 | $875,000 | thousands by filing date | principal |
| ASCENT INDUSTRIES CO | 871565107 | COM | 158,215 | $874,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 17,596 | $867,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 33,267 | $867,000 | thousands by filing date | |
| NEXTIER OILFIELD SOLUTIONS INC | 65290C105 | COMMON STOCK | 467,015 | $863,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 38,540 | $860,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 50,140 | $860,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 18,382 | $857,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 90,049 | $856,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 876,000 | $852,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 48,617 | $852,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 290,800 | $851,000 | thousands by filing date | put |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 262,200 | $850,000 | thousands by filing date | call |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 45,176 | $850,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 435,929 | $850,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 16,454 | $849,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 61,657 | $846,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 56,946 | $846,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 52,402 | $845,000 | thousands by filing date | |
| MAGNITE INC COM | 55955D100 | Stock | 121,229 | $842,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 188,600 | $839,000 | thousands by filing date | call |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 234,278 | $839,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 59,309 | $839,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 42,853 | $839,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 228,842 | $838,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 76,786 | $838,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 40,669 | $836,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 100,067 | $836,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 79,150 | $836,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V159 | CMN | 19,227 | $835,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 341,948 | $834,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 46,093 | $831,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 142,412 | $831,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 48,300 | $830,000 | thousands by filing date | put |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 10,227 | $830,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 10,797 | $828,000 | 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 |