13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-09, with 7,380 holding rows worth $415,681,634,000.
- Accession
- 0000072971-21-000047
- Filer
- CIK 72971
- Filed
- 2021-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 21,418 entries on the cover page, a total value of $415,681,634,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $415,681,634,000 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 CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPTIAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Management, LLC028-11406
- included managerWells Fargo Funds Management, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Management, LLC reporting on behalf of Citigroup, Inc
- 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 |
|---|---|---|---|---|---|---|
| LISTED FDS TR | 53656F789 | ROUN SPOR BE ETF | 2,535 | $66,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,321 | $66,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 64,000 | $66,000 | thousands by filing date | principal |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 277,900 | $65,000 | thousands by filing date | put |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 9,375 | $65,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J585 | BULETSHS 2027 | 2,556 | $65,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 683 | $65,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 4,792 | $65,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 22,150 | $65,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 25,117 | $65,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 8,283 | $65,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 60,000 | $65,000 | thousands by filing date | principal |
| AT&T Inc | 00206R102 | COM | 361,300 | $64,000 | thousands by filing date | call |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 5,907 | $64,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 4,493 | $64,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G773 | WORK FROM HOME | 950 | $64,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 2,554 | $64,000 | thousands by filing date | |
| REDBALL ACQUISITION CORP | G7417R105 | COM CL A | 5,875 | $64,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 8,775 | $64,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 316,081 | $63,000 | thousands by filing date | put |
| GAMING & LEISURE P COM | 36467J108 | REIT | 111,000 | $63,000 | thousands by filing date | call |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 26,700 | $63,000 | thousands by filing date | put |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 585,300 | $63,000 | thousands by filing date | put |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 4,475 | $63,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P553 | US CORE BOND ETF | 2,400 | $63,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L105 | SHS CL A | 5,100 | $63,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514103 | SHS CL A | 4,585 | $63,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 3,282 | $62,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 1,000 | $62,000 | thousands by filing date | |
| CANOO INC | 13803R102 | COM CL A | 4,525 | $62,000 | thousands by filing date | |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 61,000 | $62,000 | thousands by filing date | principal |
| FIRST TRUST | 33733G109 | COM BEN INTR | 19,863 | $62,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 7,265 | $62,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 12,069 | $61,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 21,152 | $61,000 | thousands by filing date | |
| EQUITY DISTR ACQUISITION COR | 29465E106 | CMN | 6,000 | $61,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 1,300 | $60,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 2,510 | $60,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 4,529 | $60,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 2,104 | $60,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 38,786 | $60,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 250,000 | $59,000 | thousands by filing date | call |
| ISHARES TR | 46436E726 | IBONDS DEC 2030 | 2,236 | $59,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 7,020 | $59,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 14,005 | $59,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 2,950 | $58,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 754 | $58,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 27,548 | $58,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 1,541 | $58,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 18,000 | $57,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L207 | COMMON | 1,552 | $57,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 1,909 | $56,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 359 | $56,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 26,679 | $56,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 50,000 | $55,000 | thousands by filing date | put |
| AMERICANRLTYINVSINC | 029174109 | STOK | 5,010 | $55,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 12,522 | $55,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 10,733 | $55,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,478 | $55,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 10,227 | $54,000 | thousands by filing date | put |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 8,679 | $54,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 2,788 | $54,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 3,750 | $54,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 13,968 | $54,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 56,040 | $54,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 150,000 | $53,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 238,600 | $53,000 | thousands by filing date | put |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 1,070 | $53,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 4,951 | $53,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 9,576 | $53,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 45,400 | $52,000 | thousands by filing date | put |
| LIMBACH HLDGS INC | 53263P105 | COM | 4,231 | $52,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 1,527 | $52,000 | thousands by filing date | |
| NEWBORN ACQUISITION CORP | G6463T106 | SHS | 3,000 | $52,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 22,910 | $52,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 50,000 | $52,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 2,551 | $51,000 | thousands by filing date | |
| DADA NEXUS LTD NPV ADR | 23344D108 | ADS | 1,385 | $51,000 | thousands by filing date | |
| IBEX LTD | G4690M101 | COMMON STOCK | 2,720 | $51,000 | thousands by filing date | |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 2,403 | $51,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 23,329 | $51,000 | thousands by filing date | principal |
| ACAMAR PARTNERS ACQSITION CO | 004285102 | CL A | 4,500 | $51,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 210,000 | $50,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 633 | $50,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 8,827 | $50,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 3,543 | $50,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 7,253 | $50,000 | thousands by filing date | |
| CLEVER LEAVES HOLDINGS INC | 186760104 | COM | 5,700 | $50,000 | thousands by filing date | |
| YUMANITY THERAPEUTICS INC | 98872L102 | COM | 2,898 | $50,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J859 | MULTI INTL ETF | 1,566 | $49,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 1,809 | $49,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 3,082 | $49,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 5,917 | $49,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 5,710 | $48,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 25,000 | $48,000 | thousands by filing date | put |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 24,043 | $48,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 20,847 | $48,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439102 | CL A | 4,800 | $48,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 22,600 | $47,000 | thousands by filing date | call |
| VIATRIS INC COM | 92556V106 | Stock | 33,600 | $47,000 | thousands by filing date | call |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 20,000 | $47,000 | thousands by filing date | put |
| EQUINOX GOLD CORP | 29446Y502 | COM | 4,562 | $47,000 | thousands by filing date | |
| BIODESIX INC | 09075X108 | COM | 2,313 | $47,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 1,128 | $47,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 62,707 | $47,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 9,497 | $47,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,996 | $46,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y691 | CMN | 857 | $46,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 5,946 | $46,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865103 | COM CL A | 3,460 | $46,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 4,453 | $46,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 50,000 | $46,000 | thousands by filing date | principal |
| GWG HLDGS INC | 36192A109 | COM | 6,567 | $46,000 | thousands by filing date | |
| XP INC CL A | G98239109 | Stock | 25,000 | $45,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 1,145 | $45,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 9,016 | $45,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,519 | $45,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 6,846 | $45,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577AA0 | NOTE 4.750% 5/1 | 21,000 | $45,000 | thousands by filing date | principal |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 12,787 | $45,000 | thousands by filing date | |
| TPG PACE TECH OPPORTUNITIES | G8990Y111 | UNIT 99/99/9999 | 4,000 | $45,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 302 | $44,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 1,310 | $44,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 9,068 | $44,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 6,615 | $44,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,264 | $44,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N300 | CL A | 4,003 | $44,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 11,946 | $44,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 3,866 | $44,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP | G0370L124 | UNIT 99/99/9999 | 3,400 | $44,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K115 | *W EXP 99/99/999 | 11,000 | $44,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 31,400 | $43,000 | thousands by filing date | call |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 924,600 | $43,000 | thousands by filing date | put |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 10,000 | $43,000 | thousands by filing date | call |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 822 | $43,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 17,100 | $43,000 | thousands by filing date | call |
| DLH HLDGS CORP | 23335Q100 | COM | 4,565 | $43,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 4,882 | $43,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 6,662 | $43,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,109 | $43,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $43,000 | thousands by filing date | principal |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 6,800 | $43,000 | thousands by filing date | |
| SUPERNOVA PARTNERS ACQUISITI | 86846V207 | UNIT 99/99/9999 | 3,725 | $43,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 150,000 | $42,000 | thousands by filing date | put |
| WYNN RESORTS LTD | 983134107 | COM | 10,000 | $42,000 | thousands by filing date | put |
| MONROE CAPITAL CORP | 610335101 | COM | 5,227 | $42,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,359 | $42,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 10,050 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 567 | $42,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 41,855 | $42,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 2,295 | $42,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISITION | 344328117 | *W EXP 08/11/202 | 9,100 | $42,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C789 | US EQTY BUFR JUL | 1,372 | $41,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 130,800 | $41,000 | thousands by filing date | put |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,317 | $41,000 | thousands by filing date | |
| GREENWICH LIFESCIENCES INC | 396879108 | COMMON STOCK | 1,134 | $41,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 2,567 | $41,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 26,900 | $41,000 | thousands by filing date | call |
| ELYS GAME TECHNOLOGY CORP | 290734102 | COM | 7,000 | $41,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 37,024 | $41,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 22,085 | $41,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 981,400 | $40,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 681 | $40,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 500 | $40,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 3,521 | $40,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 4,440 | $40,000 | thousands by filing date | |
| WIMI HOLOGRAM CLOUD INC | 97264L100 | SPON ADS CL B | 7,000 | $40,000 | thousands by filing date | |
| SENIOR CONNECT ACQUISITN COR | 81723H207 | UNIT 12/09/2023 | 3,850 | $40,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744120 | UNIT 99/99/9999 | 2,900 | $40,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R101 | CLASS A | 2,700 | $40,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 1,487 | $39,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 1,826 | $39,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,196 | $39,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 7,161 | $39,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 6,469 | $39,000 | thousands by filing date | |
| CLIMATE CHANGE CRISIS REAL I | 18716C100 | CL A COM | 3,684 | $39,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 2,707 | $39,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 5,000 | $38,000 | thousands by filing date | call |
| CAMTEK LTD ORD | M20791105 | Stock | 1,725 | $38,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 117,164 | $38,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 153,500 | $38,000 | thousands by filing date | call |
| VICTORY PORTFOLIOS II | 92647N527 | CORE BD ETF | 697 | $38,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 5,250 | $38,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 550 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 775 | $38,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765UAB9 | NOTE 0.750% 2/1 | 30,000 | $38,000 | thousands by filing date | principal |
| BEYOND AIR INC | 08862L103 | COM | 7,121 | $38,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 6,812 | $37,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,705 | $37,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,399 | $37,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,039 | $37,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 1,508 | $37,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 26,523 | $37,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 40,000 | $37,000 | thousands by filing date | principal |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 160,000 | $36,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 1,703 | $36,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 225 | $36,000 | thousands by filing date | |
| NORTHERN GENESIS ACQUISITION | 66516T104 | COMMON STOCK | 2,000 | $36,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941BAB2 | NOTE 0.375% 3/0 | 36,000 | $36,000 | thousands by filing date | principal |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 6,896 | $36,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRGY SHS BEN INT | 151461209 | CEF | 3,850 | $36,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 812 | $35,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 8,197 | $35,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 5,398 | $35,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 11,696 | $35,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 7,667 | $35,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K200 | COM | 2,578 | $35,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637113 | SHS | 14,464 | $35,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 207 | $34,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 121,600 | $34,000 | thousands by filing date | put |
| TILRAY INC | 88688T100 | COM CL 2 | 4,117 | $34,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 721 | $34,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R648 | SP KENSHO NEWEC | 594 | $34,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 3,000 | $34,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 10,000 | $34,000 | thousands by filing date | |
| AMERICAN VRTUAL CLOUD TECH I | 030382105 | COM | 4,722 | $34,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G106 | ORD SHS | 4,000 | $34,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 710 | $33,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 6,579 | $33,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 4,090 | $33,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 56 | $33,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 21,765 | $33,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 49,500 | $32,000 | thousands by filing date | put |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 13,715 | $32,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 12,546 | $32,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 3,449 | $32,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 1,679 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,025 | $32,000 | thousands by filing date | |
| SPORTS ENTERTAINMENT ACQU CO | 84918M114 | *W EXP 10/30/202 | 23,350 | $32,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 654 | $31,000 | thousands by filing date | |
| ICL GROUP LTD SHS | M53213100 | Stock | 6,010 | $31,000 | thousands by filing date | |
| EOS ENERGY ENTERPRISES INC COM CL A | 29415C101 | Stock | 1,490 | $31,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 1,160 | $31,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 247,000 | $31,000 | thousands by filing date | put |
| INVESCO BULLETSHARES 2029 MUNICIPAL BOND ETF | 46138J478 | ETF | 1,185 | $31,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2028 MUNICIPAL BOND ETF | 46138J486 | UIE | 1,185 | $31,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 1,493 | $31,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 664 | $31,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 2,165 | $31,000 | thousands by filing date | |
| VINCERX PHARMA INC | 92731L106 | COM NEW | 1,500 | $31,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 6,523 | $31,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 4,400 | $30,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 6,000 | $30,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P301 | MUNI HI INCM ETF | 562 | $30,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q670 | CORE PLUS BD ETF | 537 | $30,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 2,151 | $30,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 1,160 | $30,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2026 MUNICIPAL BOND ETF | 46138J510 | UIE | 1,160 | $30,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 15,122 | $30,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 3,736 | $30,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,151 | $30,000 | thousands by filing date | |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 4,243 | $30,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 1,500 | $30,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 34,000 | $30,000 | thousands by filing date | principal |
| NATERA INC COM | 632307104 | Stock | 40,000 | $29,000 | thousands by filing date | call |
| OFS CAPITAL CORP | 67103B100 | COM | 4,059 | $29,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 145,000 | $29,000 | thousands by filing date | call |
| DUFF & PHELPS SLT ENGY AND M | 26433F207 | COM NEW | 6,063 | $29,000 | thousands by filing date | |
| Yalla Group Ltd | 98459U103 | COM | 2,025 | $29,000 | thousands by filing date | |
| INVESCO | 46138J528 | EXCHANGE TRADED | 1,110 | $29,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $29,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 28,000 | $29,000 | thousands by filing date | principal |
| Pfizer Inc. | 717081103 | COM | 100,615 | $28,000 | thousands by filing date | put |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 600 | $28,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 567 | $28,000 | thousands by filing date | |
| MCAFEE CORP | 579063108 | COM CL A | 1,675 | $28,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 2,580 | $28,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 2,752 | $28,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 29,000 | $28,000 | thousands by filing date | principal |
| NEMAURA MED INC | 640442208 | COMMON | 7,420 | $28,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP II | G89554102 | COM CL A | 2,600 | $28,000 | thousands by filing date | |
| SOC TELEMED | 78472F101 | COM | 3,645 | $28,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285110 | *W EXP 02/26/202 | 10,695 | $28,000 | thousands by filing date | |
| THERAPEUTICS ACQUISITION COR | 88339T103 | COM CL A | 2,000 | $28,000 | thousands by filing date | |
| JAKKS PAC INC | 47012E403 | COM NEW | 5,396 | $27,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 23,200 | $27,000 | thousands by filing date | put |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 7,749 | $27,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 28,900 | $27,000 | thousands by filing date | call |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 1,300 | $27,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 8,500 | $27,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 701 | $27,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 1,300 | $27,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,264 | $27,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 8,034 | $27,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 5,997 | $27,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,568 | $27,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 5,523 | $27,000 | thousands by filing date | |
| METACRINE INC | 59101E103 | COM | 3,460 | $27,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 38,200 | $26,000 | thousands by filing date | put |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 108,800 | $26,000 | thousands by filing date | put |
| DOMTAR CORP | 257559203 | COM NEW | 5,900 | $26,000 | thousands by filing date | call |
| ISHARES TR | 46434V886 | CMN | 721 | $26,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 5,636 | $26,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 970 | $26,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 5,150 | $26,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 904 | $26,000 | thousands by filing date | |
| NORTHERN STAR ACQUISITION CO | 665742102 | COM CL A | 1,785 | $26,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q105 | COM CL A | 2,400 | $26,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L106 | CL A SHS | 2,065 | $26,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 8,022 | $26,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 70,100 | $25,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 541 | $25,000 | thousands by filing date | |
| WIDEPOINT CORP | 967590209 | COMMON | 2,549 | $25,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 14,268 | $25,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 1,744 | $25,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,237 | $25,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 1,062 | $24,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 130,600 | $24,000 | thousands by filing date | call |
| DATTO HOLDING CORPORATION | 23821D100 | COM | 919 | $24,000 | thousands by filing date | |
| CUREVAC N V | N2451R105 | COM | 290 | $24,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,437 | $24,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,701 | $24,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 5,396 | $24,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U113 | COM | 1,530 | $24,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 34,689 | $24,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 2,800 | $24,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 13,939 | $24,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,424 | $24,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 26,700 | $23,000 | thousands by filing date | put |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 5,000 | $23,000 | thousands by filing date | |
| PUBMATIC INC CLASS A | 74467Q103 | COMMON STOCK | 805 | $23,000 | thousands by filing date | |
| Low Duration Preferre | 26922A198 | AAM LW DUR PFD | 900 | $23,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 9,157 | $23,000 | thousands by filing date | |
| INVESCO | 46138J536 | EXCHANGE TRADED | 910 | $23,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 9,527 | $23,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 8,322 | $23,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 15,412 | $23,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,066 | $23,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 2,500 | $23,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 766 | $23,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 9,800 | $22,000 | thousands by filing date | put |
| PAYPALHLDGSINC | 70450Y103 | STOK | 267,400 | $22,000 | thousands by filing date | put |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 1,005 | $22,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 794 | $22,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 57,200 | $22,000 | thousands by filing date | put |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,450 | $22,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 34,600 | $22,000 | thousands by filing date | put |
| SNAP INC | 83304A106 | CL A | 52,700 | $22,000 | thousands by filing date | call |
| GOLD STD VENTURES CORP | 380738104 | COM | 30,000 | $22,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P110 | SHS NEW | 2,800 | $22,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 4,906 | $22,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 34,260 | $22,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 23,500 | $21,000 | thousands by filing date | put |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 100,000 | $21,000 | thousands by filing date | call |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 2,106 | $21,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 11,000 | $21,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 8,151 | $21,000 | thousands by filing date | |
| INVESCO | 46138J544 | EXCHANGE TRADED | 810 | $21,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 256,100 | $21,000 | thousands by filing date | call |
| COMPUTER TASK GROUP INC | 205477102 | COM | 3,289 | $21,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 2,403 | $21,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 602 | $20,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 3,365 | $20,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 15,000 | $20,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 428 | $20,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 1,650 | $20,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 195,400 | $20,000 | thousands by filing date | put |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 6,330 | $20,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 20,000 | $20,000 | thousands by filing date | principal |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 2,714 | $19,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215207 | COM NEW | 507 | $19,000 | thousands by filing date | |
| ELUTIA INC | 05479K106 | CL A COM | 1,358 | $19,000 | thousands by filing date | |
| SPROTT INC | 852066208 | COM NEW | 651 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 501 | $19,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 9,991 | $19,000 | thousands by filing date | |
| SIREN ETF TR | 829658202 | NEXGEN ECONOMY | 471 | $19,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,020 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 915 | $19,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 8,848 | $19,000 | thousands by filing date | |
| ONECONNECT FINL TECHNOLOGY C | 68248T105 | ADR | 970 | $19,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 616 | $19,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC | 25614T309 | COM NEW | 3,048 | $19,000 | thousands by filing date | |
| iShares Trust iShares USD Green Bond ETF | 46435U440 | SHS | 326 | $18,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 103,400 | $18,000 | thousands by filing date | call |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 25,000 | $18,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,500 | $18,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 7,021 | $18,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 199,500 | $18,000 | thousands by filing date | call |
| AVIS BUDGET GROUP INC | 053774105 | COM | 10,000 | $18,000 | thousands by filing date | put |
| LOOP INDS INC | 543518104 | COM | 2,146 | $18,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 5,395 | $18,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 3,833 | $18,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 10,395 | $18,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 500 | $18,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,431 | $18,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 5,997 | $18,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 3,048 | $18,000 | thousands by filing date | |
| COLLECTIVE GROWTH CORP | 19424L101 | COM CL A | 1,300 | $18,000 | thousands by filing date | |
| STAR PEAK ENERGY TRANSITION | 855185112 | *W EXP 08/11/202 | 3,000 | $18,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 4,712 | $17,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 520 | $17,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 74,700 | $17,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 302 | $17,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 1,475 | $17,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 162 | $17,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 75 | $17,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 3,152 | $17,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 2,435 | $17,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 1,865 | $17,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 473 | $17,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q613 | US AGGREGATE | 604 | $17,000 | thousands by filing date | |
| Invesco Bulletshares 2022 Munic | 46138J551 | Equities | 682 | $17,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 1,600 | $17,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 17,200 | $16,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 152,800 | $16,000 | thousands by filing date | call |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 90,000 | $16,000 | thousands by filing date | call |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 5,300 | $16,000 | thousands by filing date | put |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 556 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 661 | $16,000 | thousands by filing date | |
| WW INTL INC | 98262P101 | COM | 76,800 | $16,000 | thousands by filing date | call |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 25,000 | $16,000 | thousands by filing date | call |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 2,345 | $16,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,999 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 547 | $16,000 | thousands by filing date | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 1,448 | $16,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 8,128 | $16,000 | thousands by filing date | |
| CANOO INC | 13803R110 | *W EXP 12/21/202 | 4,500 | $16,000 | thousands by filing date | |
| STAR PEAK ENERGY TRANSITION | 855185104 | CL A | 800 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 587 | $16,000 | thousands by filing date | |
| FALCON CAPITAL ACQUISITN COR | 30606L108 | COM CL A | 1,500 | $16,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 500 | $15,000 | thousands by filing date | put |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 38,000 | $15,000 | thousands by filing date | call |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 263,100 | $15,000 | thousands by filing date | put |
| Oracle Corporation | 68389X105 | COM | 430,612 | $15,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 50,000 | $15,000 | thousands by filing date | call |
| EYEPOINT INC COM NEW | 30233G209 | Stock | 2,392 | $15,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 450 | $15,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q452 | ALERIAN MLP | 25,400 | $15,000 | thousands by filing date | put |
| INNOVATOR ETFS TRUST | 45782C656 | US EQTY PWR BUF | 534 | $15,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 249,300 | $15,000 | thousands by filing date | put |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 43,500 | $15,000 | thousands by filing date | call |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,071 | $15,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 1,333 | $15,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 5,701 | $15,000 | thousands by filing date | |
| EXCELLON RES INC F | 30069C801 | FOREIGN CANADIAN | 5,000 | $15,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 1,000 | $15,000 | thousands by filing date | principal |
| RED LION HOTELS CORP | 756764106 | COM | 4,159 | $15,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 604 | $15,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 292 | $15,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 1,145 | $15,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP | G23726105 | COM CL A | 1,500 | $15,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 3,241 | $15,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 2,363 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,062 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 114 | $14,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 1,414 | $14,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 10,815 | $14,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,019 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 500 | $14,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 5,065 | $14,000 | thousands by filing date | |
| TOMI ENVIRONMENTAL SOLUTIONS | 890023203 | COM NEW | 3,058 | $14,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 688 | $14,000 | thousands by filing date | |
| THE9 LTD | 88337K302 | ADR | 4,000 | $14,000 | thousands by filing date | |
| COLONNADE ACQUISITION CORP COM | G2283K110 | CL A | 1,000 | $14,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 1,742 | $14,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U105 | UNIT 10/15/2025 | 850 | $14,000 | thousands by filing date | |
| BURGERFI INTERNATIONAL INC | 12122L119 | *W EXP 12/16/202 | 6,150 | $14,000 | thousands by filing date | |
| INSU ACQUISITION CORP II | 457821106 | COM CL A | 896 | $14,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,044 | $14,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 2,650 | $13,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 251,200 | $13,000 | thousands by filing date | put |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 2,754 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 459 | $13,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 500 | $13,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 407 | $13,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,530 | $13,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 207 | $13,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 755 | $13,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 10,000 | $13,000 | thousands by filing date | principal |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 13,000 | $13,000 | thousands by filing date | principal |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 2,432 | $13,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U121 | *W EXP 09/30/202 | 3,000 | $13,000 | thousands by filing date | |
| EXECUTIVE NETWORK PARTNERING | 30158L100 | CMN | 500 | $13,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 80,800 | $12,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,697 | $12,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 22,100 | $12,000 | thousands by filing date | put |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 100 | $12,000 | thousands by filing date | call |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 20,000 | $12,000 | thousands by filing date | put |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,203 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 285 | $12,000 | thousands by filing date | |
| IMMUNOME INC | 45257U108 | COM | 1,283 | $12,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 8,600 | $12,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 249 | $12,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P300 | NUVEEN ESG LRGVL | 368 | $12,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 2,200 | $12,000 | thousands by filing date | put |
| GASLOG LTD | G37585109 | SHS | 3,234 | $12,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 2,850 | $12,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,823 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 406 | $12,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 151 | $12,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 2,718 | $12,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 12,500 | $12,000 | thousands by filing date | principal |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 2,182 | $12,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 1,437 | $12,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 2,111 | $11,000 | thousands by filing date | put |
| Schlumberger Limited | 806857108 | COM | 61,900 | $11,000 | thousands by filing date | put |
| Vanguard Small-Cap ETF | 922908751 | SHS | 5,300 | $11,000 | thousands by filing date | put |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 72,000 | $11,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-21-000047 | this filing | 2021-02-09 | acceptance time not in the bulk data set |