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 |
|---|---|---|---|---|---|---|
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 59,768 | $824,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 103,179 | $823,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 156,529 | $822,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 150,868 | $822,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 41,671 | $821,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 14,052 | $821,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 39,415 | $820,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 54,111 | $818,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 29,869 | $817,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 632,000 | $816,000 | thousands by filing date | principal |
| BEAM THERAPEUTICS INC | 07373V105 | COM | 33,051 | $814,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 52,469 | $813,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 51,113 | $813,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 51,958 | $811,000 | thousands by filing date | |
| INVESCO TR II ETF S&P 500 EMERGING MKTS LOW VOLATILITY | 46138E297 | ETF | 40,216 | $809,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 121,151 | $807,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 34,911 | $807,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 39,498 | $806,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 55,000 | $804,000 | thousands by filing date | put |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 140,189 | $804,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 70,731 | $804,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 129,557 | $802,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 170,297 | $801,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 29,085 | $800,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 26,464 | $799,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 54,913 | $799,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 59,968 | $798,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 73,557 | $798,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 71,936 | $797,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 52,781 | $795,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 23,021 | $794,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 34,162 | $791,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 100,256 | $791,000 | thousands by filing date | |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 11,383 | $788,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 44,490 | $788,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 11,992 | $788,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 77,794 | $786,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 97,912 | $785,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 224,389 | $785,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 311,890 | $782,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 38,659 | $780,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 970,500 | $780,000 | thousands by filing date | principal |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 824,000 | $779,000 | thousands by filing date | principal |
| INVESCO EXCHANGE TRADED FD T | 46137V381 | S&P500 EQL DIS | 7,561 | $778,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 13,272 | $778,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 20,716 | $776,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 15,509 | $776,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 79,793 | $775,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 25,292 | $775,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 73,519 | $774,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 21,561 | $771,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 30,161 | $771,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 219,846 | $770,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 136,938 | $770,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 48,919 | $769,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 7,068 | $767,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 54,088 | $766,000 | thousands by filing date | |
| YY INC | 98426TAF3 | NOTE 1.375% 6/1 | 750,000 | $766,000 | thousands by filing date | principal |
| MBIA INC | 55262C100 | COMMON STOCK | 125,723 | $762,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 60,996 | $761,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 38,708 | $759,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 69,575 | $759,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 788,000 | $759,000 | thousands by filing date | principal |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 161,092 | $757,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP FUND, I | 184692200 | COM | 68,515 | $757,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 54,768 | $757,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 151,016 | $757,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 49,403 | $756,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 92,350 | $753,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 26,715 | $752,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 13,478 | $751,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 65,469 | $749,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 39,831 | $748,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 55,207 | $747,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 88,473 | $744,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 23,965 | $743,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 52,441 | $741,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 49,763 | $741,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 66,600 | $740,000 | thousands by filing date | put |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 93,505 | $740,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 31,790 | $739,000 | thousands by filing date | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 72,428 | $738,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 181,582 | $736,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 68,034 | $732,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 1,065,200 | $731,000 | thousands by filing date | call |
| Morgan Stanley | 617446448 | COM | 170,000 | $731,000 | thousands by filing date | put |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 94,025 | $731,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 84,788 | $731,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 52,021 | $729,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 55,098 | $727,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 47,777 | $726,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 44,432 | $726,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 67,675 | $725,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 44,880 | $724,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 81,858 | $724,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 108,392 | $720,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 47,483 | $719,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 45,173 | $715,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 49,339 | $715,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 283,640 | $715,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 107,311 | $714,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 90,686 | $712,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 26,008 | $711,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 19,722 | $710,000 | thousands by filing date | |
| PROSHARES TR | 74347B169 | CMN | 11,291 | $709,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 69,975 | $708,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 18,759 | $708,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 42,120 | $707,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 873,220 | $705,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 13,430 | $704,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 207,613 | $704,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 27,611 | $700,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 58,851 | $699,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 71,850 | $698,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 33,326 | $695,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 39,719 | $695,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 14,577 | $694,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 114,012 | $693,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 200,905 | $693,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 10,250 | $692,000 | thousands by filing date | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,777 | $691,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 3,756 | $691,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 151,396 | $689,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 57,563 | $689,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 80,532 | $687,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 282,313 | $686,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 60,906 | $685,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 42,638 | $685,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 402,104 | $684,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 45,975 | $684,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 171,101 | $684,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 33,552 | $682,000 | thousands by filing date | |
| VAXCYTE INC COM | 92243G108 | Stock | 13,797 | $681,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 24,255 | $681,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 52,998 | $679,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 27,103 | $676,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 92,653 | $676,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 283,567 | $675,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 46,972 | $675,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 82,074 | $673,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 129,563 | $673,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 44,803 | $673,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 25,077 | $672,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 43,171 | $672,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 88,955 | $669,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 8,255 | $667,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 48,591 | $667,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 77,931 | $667,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 102,886 | $665,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 948,835 | $664,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 117,115 | $662,000 | thousands by filing date | |
| ABRDN GLOBAL INFRA INCOME FU | 00326W106 | COM SHS BEN INT | 37,704 | $660,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 57,285 | $660,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 103,910 | $659,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 51,529 | $658,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 41,545 | $658,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 23,581 | $658,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 130,412 | $657,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 51,341 | $657,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 57,818 | $657,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTREAM O | 18469P209 | COM | 74,645 | $654,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 69,650 | $654,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 15,585 | $653,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 25,544 | $652,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 24,078 | $652,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 19,188 | $651,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 19,220 | $648,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 49,187 | $648,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 15,995 | $647,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 535,000 | $644,000 | thousands by filing date | principal |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 256,004 | $643,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 40,154 | $643,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 48,672 | $643,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 87,587 | $639,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V191 | S&P MDCP400 VL | 11,648 | $635,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 127,860 | $632,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 16,424 | $632,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 369,424 | $632,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 119,902 | $631,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 30,365 | $629,000 | thousands by filing date | |
| PACTIV EVERGREEN INC | 69526K105 | COM | 49,495 | $629,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 113,464 | $629,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 102,364 | $628,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 85,634 | $627,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 49,781 | $627,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744104 | SHS | 60,211 | $627,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 9,847 | $626,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 29,451 | $625,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 83,310 | $624,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 31,386 | $624,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 122,983 | $624,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 74,997 | $621,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 21,900 | $620,000 | thousands by filing date | call |
| KALA BIO INC COM | 483119103 | Stock | 82,616 | $620,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 131,123 | $619,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 29,605 | $618,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 48,167 | $617,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 14,830 | $617,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 19,384 | $616,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 79,658 | $616,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 19,319 | $616,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 32,500 | $615,000 | thousands by filing date | call |
| BYLINE BANCORP INC | 124411109 | COM | 54,510 | $615,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 234,523 | $614,000 | thousands by filing date | put |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 55,940 | $613,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 25,204 | $613,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 81,247 | $612,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 233,963 | $609,000 | thousands by filing date | |
| FORMA THERAPEUTICS HLDGS INC | 34633R104 | SHS | 12,208 | $609,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 25,877 | $607,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 23,937 | $607,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 43,579 | $606,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 638,000 | $606,000 | thousands by filing date | principal |
| LIMONEIRA CO | 532746104 | COM | 42,345 | $605,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 39,319 | $605,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 54,825 | $605,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 43,087 | $605,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 44,855 | $600,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 110,938 | $600,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 91,715 | $597,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 8,549 | $597,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 33,370 | $596,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 16,346 | $596,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 17,194 | $595,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 53,686 | $594,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 783,800 | $592,000 | thousands by filing date | put |
| SCIPLAY CORPORATION | 809087109 | CL A | 36,428 | $591,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 49,152 | $591,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 28,237 | $587,000 | thousands by filing date | |
| GOODRX HLDGS INC | 38246G108 | COM CL A | 10,541 | $586,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 84,286 | $586,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 48,438 | $584,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 19,627 | $583,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 2,402 | $581,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 80,885 | $581,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 34,388 | $580,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 18,021 | $579,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 60,000 | $579,000 | thousands by filing date | call |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 23,933 | $579,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 94,747 | $579,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC COM | 665531307 | Stock | 100,348 | $577,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 7,438 | $576,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 48,636 | $574,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 8,708 | $573,000 | thousands by filing date | |
| AMERICAN WELL CORP | 03044L105 | CL A | 19,295 | $572,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 31,374 | $572,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 42,694 | $569,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 177,379 | $568,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 42,874 | $567,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 200,000 | $566,000 | thousands by filing date | call |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 76,246 | $566,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 33,542 | $566,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 60,294 | $565,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 38,971 | $565,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 86,946 | $564,000 | thousands by filing date | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 32,089 | $562,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 111,010 | $562,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 28,448 | $562,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 7,606 | $561,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 20,138 | $560,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 23,120 | $558,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 4,964 | $558,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 45,193 | $558,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 86,388 | $557,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 173,045 | $557,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 915,711 | $552,000 | thousands by filing date | |
| OAKTREE ACQUISITION CORP | G67145105 | SHS CL A | 46,977 | $552,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 73,453 | $548,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 28,368 | $547,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 66,362 | $547,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 35,171 | $545,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 53,794 | $545,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 131,213 | $544,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 33,736 | $543,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 39,990 | $543,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 45,749 | $542,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 63,410 | $541,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 9,724 | $541,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 133,759 | $541,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 22,332 | $541,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 25,589 | $540,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 487,700 | $539,000 | thousands by filing date | call |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 11,021 | $539,000 | thousands by filing date | |
| WATFORD HOLDINGS LTD | G94787101 | SHS | 23,401 | $537,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 14,162 | $535,000 | thousands by filing date | |
| COMMERCE.COM INC | 08975P108 | COM SER 1 | 6,415 | $535,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 13,966 | $535,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 21,103 | $535,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 48,500 | $534,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 21,414 | $534,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 31,278 | $534,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 177,923 | $533,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 39,898 | $533,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 44,661 | $533,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 12,362 | $531,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 32,206 | $531,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 53,652 | $528,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 5,382 | $527,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 12,139 | $526,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 218,876 | $525,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 38,396 | $525,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 41,877 | $524,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 33,407 | $522,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 54,949 | $522,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 28,197 | $522,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 59,197 | $521,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 12,926 | $520,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 263,100 | $518,000 | thousands by filing date | put |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 23,203 | $518,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 76,889 | $518,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 54,234 | $518,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 16,296 | $518,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 42,042 | $516,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 26,244 | $514,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 14,692 | $514,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 10,593 | $514,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 22,914 | $513,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 15,777 | $513,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 130,904 | $513,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 150,940 | $513,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 113,805 | $512,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 56,588 | $512,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 31,518 | $512,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G109 | CL A | 65,945 | $510,000 | thousands by filing date | |
| PACER FDS TR | 69374H709 | GLOBL CASH ETF | 20,676 | $508,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 60,446 | $507,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 58,407 | $507,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 68,609 | $506,000 | thousands by filing date | |
| REDFIN CORP | 75737FAA6 | NOTE 1.750% 7/1 | 295,000 | $506,000 | thousands by filing date | principal |
| GREENSKY INC | 39572G100 | CL A | 113,566 | $505,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 728,000 | $504,000 | thousands by filing date | call |
| HURCO CO | 447324104 | COM | 17,770 | $504,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 73,138 | $503,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 140,660 | $502,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 368,400 | $502,000 | thousands by filing date | put |
| AMERICAN OUTDOOR BRANDS INC | 02875D109 | COM | 38,648 | $502,000 | thousands by filing date | |
| Gaotu Techedu Inc | 36257Y109 | COM | 5,568 | $502,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 196,128 | $499,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 31,196 | $499,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 40,422 | $498,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 40,147 | $497,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 35,924 | $495,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 23,748 | $495,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 25,574 | $495,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 485,000 | $494,000 | thousands by filing date | principal |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 43,375 | $493,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 513,300 | $493,000 | thousands by filing date | call |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 34,885 | $492,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 28,714 | $492,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 12,131 | $491,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 19,228 | $491,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 32,748 | $491,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 7,176 | $491,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 30,668 | $490,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 5,439 | $490,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 50,326 | $490,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 200,000 | $490,000 | thousands by filing date | principal |
| TELENAV INC | 879455103 | COMMON STOCK | 135,870 | $489,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 53,789 | $488,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 73,867 | $488,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAF5 | BOND | 500,000 | $488,000 | thousands by filing date | principal |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 24,304 | $487,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 179,413 | $487,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 39,437 | $487,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 22,689 | $486,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 20,216 | $485,000 | thousands by filing date | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 12,522 | $483,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 32,843 | $482,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 67,081 | $482,000 | thousands by filing date | |
| HELLO GROUP INC | 60879BAB3 | NOTE 1.250% 7/0 | 616,000 | $482,000 | thousands by filing date | principal |
| FS BANCORP INC | 30263Y104 | COM | 11,715 | $481,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 46,700 | $480,000 | thousands by filing date | put |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 41,984 | $479,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 139,771 | $478,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 45,115 | $477,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 20,909 | $476,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 19,139 | $476,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 56,282 | $476,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 39,099 | $475,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 34,974 | $475,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 20,715 | $474,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 92,634 | $471,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 45,273 | $471,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 53,298 | $471,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 18,065 | $470,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 17,418 | $470,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 32,635 | $470,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 17,769 | $469,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 16,528 | $469,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 411,581 | $468,000 | thousands by filing date | put |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 30,000 | $468,000 | thousands by filing date | put |
| INMODE LTD SHS | M5425M103 | Stock | 12,925 | $468,000 | thousands by filing date | |
| STEPSTONE GROUP INC | 85914M107 | COM CL A | 17,583 | $468,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 139,369 | $468,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 36,956 | $468,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 76,002 | $468,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 479,200 | $467,000 | thousands by filing date | put |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 69,118 | $467,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 45,215 | $467,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 94,700 | $465,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 72,961 | $465,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 16,586 | $464,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 26,352 | $464,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 36,026 | $463,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 161,686 | $462,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 144,331 | $461,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 30,303 | $461,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 3,690 | $461,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576101 | COMMON STOCK | 49,465 | $460,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 31,099 | $460,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 45,687 | $459,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A150 | COM | 28,023 | $458,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 54,001 | $458,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 20,573 | $458,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 23,476 | $457,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 41,625 | $457,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 39,559 | $457,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 22,447 | $454,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 15,476 | $453,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 24,722 | $453,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 39,836 | $453,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 68,732 | $452,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 97,113 | $451,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 111,869 | $449,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 2,909 | $449,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 68,739 | $449,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 57,232 | $448,000 | thousands by filing date | |
| TORTOISE ESSENTIAL ASSETS IN | 89148A103 | COM SH BEN INT | 42,312 | $447,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 81,375 | $445,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 31,857 | $444,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 30,080 | $443,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 18,327 | $443,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 21,108 | $443,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 30,101 | $442,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 25,030 | $441,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 10,758 | $441,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 55,913 | $441,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 12,196 | $440,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 39,178 | $439,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 38,808 | $439,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 29,985 | $439,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 34,217 | $439,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 25,321 | $439,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 40,492 | $438,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 113,112 | $438,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 7,610 | $438,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 57,790 | $437,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 37,462 | $437,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q204 | Cmn | 38,901 | $436,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 386,210 | $434,000 | thousands by filing date | put |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 56,729 | $434,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 324,500 | $433,000 | thousands by filing date | put |
| Gilat Satellite Network | M51474118 | COM | 79,465 | $433,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 140,410 | $433,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 14,873 | $432,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 91,820 | $432,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 42,300 | $431,000 | thousands by filing date | put |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 4,054 | $431,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 289,100 | $431,000 | thousands by filing date | put |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 90,000 | $431,000 | thousands by filing date | put |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 28,740 | $431,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 47,099 | $431,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 32,682 | $430,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 32,100 | $430,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 24,222 | $430,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 40,561 | $429,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 167,703 | $428,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 25,118 | $427,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 22,645 | $426,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 32,386 | $426,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 80,723 | $426,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 9,590 | $425,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 38,046 | $425,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 39,838 | $424,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 76,656 | $424,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 13,691 | $423,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 36,745 | $422,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 63,106 | $421,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V712 | BLOO MVP MUL ETF | 4,483 | $420,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 59,536 | $420,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 347,589 | $420,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 18,014 | $419,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 113,941 | $418,000 | thousands by filing date | put |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 100,000 | $418,000 | thousands by filing date | call |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 7,457 | $418,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 35,552 | $417,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 44,079 | $416,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 180,338 | $415,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 62,435 | $415,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 157,972 | $414,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 36,474 | $414,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 17,489 | $412,000 | thousands by filing date | |
| Angel Oak DFS Inc TR | 03462A102 | COM | 23,101 | $412,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 20,835 | $411,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 7,318 | $411,000 | thousands by filing date | |
| DUN & BRADSTREET HLDGS INC | 26484T106 | COM | 15,954 | $410,000 | thousands by filing date | |
| MAXEON SOLAR TECHNOLOGIES LT | Y58473102 | SHS | 24,059 | $408,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 32,865 | $408,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 19,628 | $408,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 418,566 | $407,000 | 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 |