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 |
|---|---|---|---|---|---|---|
| INNOVATOR ETFS TRUST | 45782C748 | US EQTY PWR BUF | 365 | $11,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 1,122 | $11,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 225 | $11,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 323 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 386 | $11,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 275 | $11,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 838 | $11,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 1,075 | $11,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 12,000 | $11,000 | thousands by filing date | principal |
| CC NEUBERGER PRINCIPAL HLDNG | G1992Y114 | COM | 1,000 | $11,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP UNIT EX | G23726121 | Stock | 1,000 | $11,000 | thousands by filing date | |
| ONE UNIT | G7000X113 | Stock | 1,000 | $11,000 | thousands by filing date | |
| DEERFIELD HEALTHCARE TECH AC | 244413100 | COM CL A | 698 | $11,000 | thousands by filing date | |
| XP INC CL A | G98239109 | Stock | 10,000 | $10,000 | thousands by filing date | put |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 21,300 | $10,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,996 | $10,000 | thousands by filing date | |
| AUDIOEYE INC | 050734201 | COM NEW | 379 | $10,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 250 | $10,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 6,907 | $10,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 5,555 | $10,000 | thousands by filing date | |
| ISHARES TR | 46436E502 | US TECH BRKTHR | 287 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 368 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 239 | $10,000 | thousands by filing date | |
| VICTORYSHARES U S | 92647N576 | MF Closed and MF Open | 182 | $10,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 605 | $10,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 431 | $10,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 4,000 | $10,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,222 | $10,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 3,169 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 769 | $10,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 4,941 | $10,000 | thousands by filing date | |
| ALTITUDE ACQUISITION CORP | 02156Y202 | UNIT 11/30/2027 | 1,000 | $10,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 7,325 | $10,000 | thousands by filing date | |
| ROMEO POWER INC | 776153116 | W EXP 02/21/202 | 1,070 | $10,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L114 | *W EXP 08/02/202 | 3,000 | $10,000 | thousands by filing date | |
| AURIS MEDICAL HOLDING LTD | G07025201 | SHS | 3,835 | $10,000 | thousands by filing date | |
| VINCERX PHARMA INC | 92731L114 | *W EXP 12/24/202 | 3,000 | $10,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 15,100 | $9,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 316 | $9,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 95,600 | $9,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 3,500 | $9,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 4,870 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 286 | $9,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 22,500 | $9,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 347 | $9,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 492 | $9,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 233 | $9,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 400 | $9,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 3,001 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 10,000 | $9,000 | thousands by filing date | principal |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 1,000 | $9,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAJ6 | NOTE 4.125% 9/1 | 9,000 | $9,000 | thousands by filing date | principal |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 2,141 | $9,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,231 | $9,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 3,569 | $9,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 35 | $8,000 | thousands by filing date | put |
| WENDYS CO COM | 95058W100 | Stock | 49,900 | $8,000 | thousands by filing date | call |
| SYNAPTICS INC COM | 87157D109 | Stock | 270,000 | $8,000 | thousands by filing date | put |
| ABCELLERA BIOLOGICS INC COM | 00288U106 | Stock | 200 | $8,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 82,700 | $8,000 | thousands by filing date | call |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 887 | $8,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 35,000 | $8,000 | thousands by filing date | call |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 32,500 | $8,000 | thousands by filing date | call |
| LSB INDS INC | 502160104 | COM | 2,389 | $8,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 1,657 | $8,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 1,664 | $8,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 25,000 | $8,000 | thousands by filing date | put |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,062 | $8,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 1,242 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A453 | CLEARSHS ULTRA | 80 | $8,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,136 | $8,000 | thousands by filing date | |
| TPG PACE BEN FIN CORP | G8990D125 | CL A COM | 300 | $8,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 3,118 | $8,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 2,470 | $8,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,036 | $8,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 600 | $8,000 | thousands by filing date | |
| CREATD INC | 225265107 | COM | 2,046 | $8,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 6,000 | $8,000 | thousands by filing date | principal |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 5,440 | $8,000 | thousands by filing date | |
| MAXEON SOLAR TECHNOLOGIES LT | 58503F502 | COM | 295 | $8,000 | thousands by filing date | |
| NORTHERN STAR ACQUISITION CO | 665742201 | UNIT 08/29/2025 | 500 | $8,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E202 | COM NEW | 488 | $8,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 9,000 | $7,000 | thousands by filing date | put |
| VERMILION ENERGY INC COM | 923725105 | Stock | 1,535 | $7,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 8,200 | $7,000 | thousands by filing date | put |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 478 | $7,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 4,500 | $7,000 | thousands by filing date | put |
| PBF ENERGY INC | 69318G106 | CL A | 11,200 | $7,000 | thousands by filing date | call |
| OLIN CORP | 680665205 | COM PAR $1 | 10,000 | $7,000 | thousands by filing date | put |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,962 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 101 | $7,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,060 | $7,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,132 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 300 | $7,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 2,017 | $7,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 1,759 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 226 | $7,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 213 | $7,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 7,500 | $7,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 2,746 | $7,000 | thousands by filing date | |
| CONX CORP | 212873202 | UNIT 10/30/2027 | 675 | $7,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 30,000 | $7,000 | thousands by filing date | put |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 5,000 | $7,000 | thousands by filing date | principal |
| QELL ACQUISITION CORP | G7307X121 | UNIT 10/01/2025 | 500 | $7,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 10,600 | $6,000 | thousands by filing date | put |
| ARAMARK COM | 03852U106 | Stock | 20,400 | $6,000 | thousands by filing date | put |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 5,120 | $6,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 6,000 | $6,000 | thousands by filing date | put |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 2,684 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G888 | SHORT TERM ETF | 53 | $6,000 | thousands by filing date | |
| Galiano Gold Inc | 36352H100 | COM | 5,262 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 200 | $6,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 4,621 | $6,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,000 | $6,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,251 | $6,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,009 | $6,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 6,000 | $6,000 | thousands by filing date | principal |
| NULL | 68620A203 | NULL | 487 | $6,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 1,590 | $6,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISTN COR | 34431F104 | COM CL A | 500 | $6,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 3,157 | $6,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 51,200 | $6,000 | thousands by filing date | call |
| VESPER HEALTHCARE ACQSTN COR | 92538T104 | COM CL A | 550 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 158 | $6,000 | thousands by filing date | |
| 17 ED & TECHNOLOGY GROUP INC | 81807M106 | ADS | 500 | $6,000 | thousands by filing date | |
| ALTIMAR ACQUISITION CORP | G03707109 | SHS CL A | 540 | $6,000 | thousands by filing date | |
| FIRSTMARK HORIZON ACQUISITIO | 33765Y200 | UNIT 99/99/9999 | 500 | $6,000 | thousands by filing date | |
| OPENDOOR TECHNOLOGIES INC | 683712111 | *W EXP 12/18/202 | 833 | $6,000 | thousands by filing date | |
| VG ACQUISITION C | G9446E121 | UNIT | 500 | $6,000 | thousands by filing date | |
| CIIG MERGER CORP | 12559C202 | UNIT 12/31/2026 | 195 | $6,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 5 | $5,000 | thousands by filing date | put |
| MERCADOLIBREINC | 58733R102 | STOK | 100 | $5,000 | thousands by filing date | put |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 100 | $5,000 | thousands by filing date | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 6,100 | $5,000 | thousands by filing date | call |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 405 | $5,000 | thousands by filing date | |
| EHANG HLDGS LTD ADS | 26853E102 | ADR | 235 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 70 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 63 | $5,000 | thousands by filing date | |
| VALHI INC | 918905209 | COMMON STOCK | 307 | $5,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 1,400 | $5,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,133 | $5,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $5,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 91 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 144 | $5,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 1,000 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 244 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 150 | $5,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A504 | VIRTUS US QLTY | 200 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 50 | $5,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| APOLLO STRATEGIC GROWTH CAPITAL | G0411R106 | COMMON STOCK-FO | 500 | $5,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 5,754 | $5,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 575 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 200 | $5,000 | thousands by filing date | |
| KINS TECHNOLOGY GROUP INC | 49714K208 | UNIT 10/14/2025 | 500 | $5,000 | thousands by filing date | |
| FIRST EAGLE ALTR CAP BDC INC | 26943B100 | COM | 1,276 | $5,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 2,083 | $5,000 | thousands by filing date | |
| CLEARBRIDGE ALL CAP GROWTH ESG | 524682101 | FUND | 119 | $5,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 277 | $5,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| AETHLON MED INC | 00808Y307 | COM | 2,196 | $5,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 6,917 | $5,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 8,163 | $5,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 1,699 | $5,000 | thousands by filing date | |
| NEW BEGINNINGS ACQUISITION C | 64222H100 | COM | 499 | $5,000 | thousands by filing date | |
| STARBOARD VALUE ACQUISITN CORP UNIT EXP 091025 | 85521J208 | Stock | 500 | $5,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 302 | $5,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 2,015 | $4,000 | thousands by filing date | put |
| Broadcom Inc. | 11135F101 | COM | 2,500 | $4,000 | thousands by filing date | put |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 26,300 | $4,000 | thousands by filing date | put |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 56 | $4,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 10,000 | $4,000 | thousands by filing date | put |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 654 | $4,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 1,300 | $4,000 | thousands by filing date | put |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 16,900 | $4,000 | thousands by filing date | call |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 3,600 | $4,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717Y790 | US EFFIC CORE FD | 100 | $4,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 88,200 | $4,000 | thousands by filing date | call |
| EVOLUS INC | 30052C107 | COM | 32,700 | $4,000 | thousands by filing date | put |
| XILINX INC | 983919101 | COM | 59,900 | $4,000 | thousands by filing date | put |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 779 | $4,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCES INC | 004468500 | COMMON STOCK | 544 | $4,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 1,763 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 200 | $4,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 2,707 | $4,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 260 | $4,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 300 | $4,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 131 | $4,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 83 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 84 | $4,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 413 | $4,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 144 | $4,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 288 | $4,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 3,253 | $4,000 | thousands by filing date | |
| CEREVEL THERAPEUTICS HLDNG I | 15678U128 | COM | 240 | $4,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,594 | $4,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 2,000 | $4,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 2,220 | $4,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 481 | $4,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 2,396 | $4,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,428 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 288 | $4,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 1,201 | $4,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 560 | $4,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 3,194 | $4,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 181 | $4,000 | thousands by filing date | |
| CYCLACEL PHARMACE 6percent PFDCONV | 23254L603 | Stock | 527 | $4,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 151 | $4,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 6,519 | $4,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 5,743 | $4,000 | thousands by filing date | |
| SKILLZ INC | 83067L117 | *W EXP 02/26/202 | 500 | $4,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G114 | *W EXP 11/30/202 | 2,000 | $4,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T266 | XLINK CRD ETN37 | 830 | $4,000 | thousands by filing date | |
| LEFTERIS ACQUISITION CORP UNIT EX | 52470X208 | Stock | 400 | $4,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 4,000 | $4,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189H706 | UNCVTL OIL GAS | 50 | $4,000 | thousands by filing date | |
| GIGCAPITAL3 INC | 37519D107 | COM | 300 | $4,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 35,000 | $3,000 | thousands by filing date | put |
| Chevron Corporation | 166764100 | COM | 45,300 | $3,000 | thousands by filing date | call |
| Coca-Cola Company | 191216100 | COM | 1,325 | $3,000 | thousands by filing date | put |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 2 | $3,000 | thousands by filing date | put |
| ADT INC DEL COM | 00090Q103 | Stock | 6,300 | $3,000 | thousands by filing date | put |
| NETAPP INC COM | 64110D104 | Stock | 28,400 | $3,000 | thousands by filing date | put |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 230,000 | $3,000 | thousands by filing date | call |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 101 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 2,500 | $3,000 | thousands by filing date | put |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 2,000 | $3,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 1,146 | $3,000 | thousands by filing date | |
| CF BANKSHARES INC | 12520L109 | COM | 176 | $3,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 169 | $3,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 893 | $3,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 340 | $3,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 61 | $3,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,080 | $3,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 339 | $3,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 1,300 | $3,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 50,000 | $3,000 | thousands by filing date | call |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 275 | $3,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 201 | $3,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 1,350 | $3,000 | thousands by filing date | |
| VOXELJET AG | 92912L206 | ADS | 338 | $3,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760194 | COM | 5,000 | $3,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 837 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 601 | $3,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 1,381 | $3,000 | thousands by filing date | |
| MERCURITY FINTECH HOLDING IN | 58936H109 | SPONSORED ADS | 1,135 | $3,000 | thousands by filing date | |
| ALTERITY THERAPEUTICS LTD | 02155X106 | SPONSORED ADR | 2,500 | $3,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 700 | $3,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 1,596 | $3,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W401 | COM | 302 | $3,000 | thousands by filing date | |
| POLISHED COM INC | 28252C109 | CMN | 407 | $3,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U404 | CMN | 200 | $3,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 2,086 | $3,000 | thousands by filing date | |
| POWERBRIDGE TECHNLOGIES CO LTD ORD SHS | G72007100 | ORD SHS | 1,400 | $3,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AN1 | NOTE 3.250% 5/1 | 3,000 | $3,000 | thousands by filing date | principal |
| Chevron Corporation | 166764100 | COM | 4 | $2,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 21,600 | $2,000 | thousands by filing date | call |
| International Business Machines Corporation | 459200101 | COM | 18,300 | $2,000 | thousands by filing date | call |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 72 | $2,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 15,350 | $2,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 163,000 | $2,000 | thousands by filing date | put |
| Vanguard Growth | 922908736 | COM | 1,500 | $2,000 | thousands by filing date | put |
| PAN AMERN SILVER CORP | 697900108 | COM | 8,800 | $2,000 | thousands by filing date | put |
| FIRSTENERGY CORP | 337932107 | COM | 7,900 | $2,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 25,000 | $2,000 | thousands by filing date | put |
| IRON MTN INC DEL COM | 46284V101 | REIT | 9,600 | $2,000 | thousands by filing date | put |
| VIATRIS INC COM | 92556V106 | Stock | 3,000 | $2,000 | thousands by filing date | put |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 80 | $2,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 55,000 | $2,000 | thousands by filing date | call |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 518 | $2,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 300 | $2,000 | thousands by filing date | put |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 16,500 | $2,000 | thousands by filing date | call |
| LAM RESEARCH CORP | 512807108 | COM | 100 | $2,000 | thousands by filing date | put |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 66 | $2,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC | 19240Q201 | COM | 166 | $2,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 191 | $2,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 500 | $2,000 | thousands by filing date | put |
| Gilat Satellite Network | M51474118 | COM | 250 | $2,000 | thousands by filing date | |
| Youdao Inc - Adr | 98741T104 | COM | 68 | $2,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 383 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y888 | CMN | 48 | $2,000 | thousands by filing date | |
| ENLIVEX LTD | M4130Y106 | CMN | 200 | $2,000 | thousands by filing date | |
| BATTALION OIL CORP | 07134L107 | COM | 202 | $2,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 214 | $2,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 319 | $2,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 341 | $2,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 460 | $2,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 2,264 | $2,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 300 | $2,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 1,544 | $2,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 82 | $2,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 210 | $2,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 380 | $2,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 823 | $2,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 5,000 | $2,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L201 | SUSTNBLE INTL | 78 | $2,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602605 | COM NEW | 283 | $2,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 333 | $2,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 734 | $2,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L203 | COM NEW | 1,053 | $2,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 2,282 | $2,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 557 | $2,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 280 | $2,000 | thousands by filing date | |
| FLJ GROUP LIMITED SPON ADS | 74738J102 | ADR | 730 | $2,000 | thousands by filing date | |
| TRITERRAS INC | G9103H110 | *W EXP 02/02/202 | 1,000 | $2,000 | thousands by filing date | |
| CC NEUBERGER PRIN HLDGS II | G3166T129 | UNIT 99/99/9999 | 187 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 50 | $2,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 780 | $2,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 5,000 | $2,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 863 | $2,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 1,910 | $2,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 2,924 | $2,000 | thousands by filing date | |
| MID CON ENERGY PARTNERS LTD PARTNERSHIP NEW | 59560V208 | UNIT REPSTG LTD | 367 | $2,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 2,000 | $1,000 | thousands by filing date | put |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 22 | $1,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 500 | $1,000 | thousands by filing date | put |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 1,000 | $1,000 | thousands by filing date | put |
| Vanguard Real Estate | 922908553 | SHS | 15 | $1,000 | thousands by filing date | put |
| CLOROX CO DEL | 189054109 | COM | 114 | $1,000 | thousands by filing date | put |
| GEN DIGITAL INC COM | 668771108 | Stock | 180,400 | $1,000 | thousands by filing date | put |
| ZOETIS INC CL A | 98978V103 | Stock | 900 | $1,000 | thousands by filing date | put |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 437 | $1,000 | thousands by filing date | |
| KINETIK HOLDINGS INC COM NEW CL A | 02215L209 | Stock | 16 | $1,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 69 | $1,000 | thousands by filing date | put |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 139 | $1,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 1,200 | $1,000 | thousands by filing date | put |
| GENERAL MILLS INC COM | 370334104 | Stock | 40,000 | $1,000 | thousands by filing date | call |
| CARMAX INC COM | 143130102 | Stock | 64,000 | $1,000 | thousands by filing date | call |
| 3M CO COM | 88579Y101 | Stock | 100 | $1,000 | thousands by filing date | put |
| EURODRY LTD | Y23508107 | COM | 201 | $1,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 1,000 | $1,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 412 | $1,000 | thousands by filing date | |
| CLEARPOINT NEURO INC | 18507C103 | COM | 75 | $1,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 1,321 | $1,000 | thousands by filing date | |
| OLEMA PHARMACEUTICALS INC | 68062P106 | COM | 30 | $1,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DISTRI | 20440T300 | SPONSORED ADR | 73 | $1,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 30,000 | $1,000 | thousands by filing date | put |
| CONTINENTAL RES INC | 212015101 | COM | 1,800 | $1,000 | thousands by filing date | put |
| TURQUOISE HILL RES LTD | 900435207 | COM | 41 | $1,000 | thousands by filing date | |
| ISHARES TR | 46436E841 | IBONDS 27 TRM TS | 24 | $1,000 | thousands by filing date | |
| ISHARES TR | 46436E858 | IBONDS 26 TRM TS | 24 | $1,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 128 | $1,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 134 | $1,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 97 | $1,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 31 | $1,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 79 | $1,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 451 | $1,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 290 | $1,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 3,673 | $1,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 40 | $1,000 | thousands by filing date | |
| ISHARES TR | 46436E825 | IBONDS 29 TRM TS | 23 | $1,000 | thousands by filing date | |
| ISHARES TR | 46436E833 | IBONDS 28 TRM TS | 23 | $1,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592135 | COM | 132 | $1,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 229 | $1,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 103 | $1,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 136 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 425 | $1,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 201 | $1,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 159 | $1,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 100 | $1,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 100 | $1,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 564 | $1,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 230 | $1,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 195,000 | $1,000 | thousands by filing date | call |
| FLUX PWR HLDGS INC | 344057302 | COM NEW | 39 | $1,000 | thousands by filing date | |
| LANTERN PHARMA INC | 51654W101 | COM | 68 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 50,000 | $1,000 | thousands by filing date | put |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 1,818 | $1,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 67 | $1,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 183 | $1,000 | thousands by filing date | |
| ABRAXAS PETE CORP COM NEW | 003830304 | Stock | 554 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 31 | $1,000 | thousands by filing date | |
| QNITY ELECTRONICS INC | 817323207 | COM | 150 | $1,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 137 | $1,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 221 | $1,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 392 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 60 | $1,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 2,279 | $1,000 | thousands by filing date | |
| AYRO INC | 054748108 | COM | 100 | $1,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 500 | $1,000 | thousands by filing date | principal |
| SUNWORKS INC | 86803X204 | COMMON STOCK | 108 | $1,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 421 | $1,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 241 | $1,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 28 | $1,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G106 | COM | 80 | $1,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 411 | $1,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 36 | $1,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 96 | $1,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 130 | $1,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 218 | $1,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 95 | $1,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 200 | $1,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 44 | $1,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 600 | $1,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 274 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 40 | $1,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 805 | $1,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 97 | $1,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 89 | $1,000 | thousands by filing date | |
| OIL STS INTL INC | 678026AH8 | NOTE 1.500% 2/1 | 1,000 | $1,000 | thousands by filing date | principal |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 211 | $1,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 58 | $1,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 1,291 | $1,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 84 | $1,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 210 | $1,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 93 | $1,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 784 | $1,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 1,000 | $1,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 104 | $1,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 747 | $1,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 428 | $1,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 1,204 | $1,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q113 | *W EXP 06/30/202 | 500 | $1,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 1,212 | $1,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 31 | $1,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 1,226 | $1,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 848 | $1,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 1,215 | $1,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 145 | $1,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644148 | SHS NEW | 253 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 75 | $1,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q118 | *W EXP 10/23/202 | 100 | $1,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Accenture Plc Class A | G1151C101 | COM | 10 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Adobe Inc | 00724F101 | COM | 3,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Amgen Inc. | 031162100 | COM | 10 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Boeing Company | 097023105 | COM | 6,100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Invesco S&P 500 Momentum ETF | 46138E339 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares ESG Aware US Aggregate Bond ETF | 46435U549 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares Future AI & Tech ETF | 46435U556 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KLA CORP | 482480100 | COM | 48,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| LISTED FD TR | 53656F607 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Morgan Stanley | 617446448 | COM | 20,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NextEra Energy,Inc. | 65339F101 | COM | 40 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NIKE,Inc. Class B | 654106103 | COM | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NVIDIA Corp | 67066G104 | COM | 193,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Southern Company | 842587107 | COM | 800 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Vanguard U.S. Momentum Factor ETF | 921935508 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Visa Inc | 92826C839 | COM | 1,100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AEMETIS INC | 00770K202 | COM NEW | 105 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 67 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALE S A | 91912E105 | SPONSORED ADS | 100,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 1,200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NUVEEN ESG MID-CAP VALUE ETF | 67092P508 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| D R HORTON INC COM | 23331A109 | Stock | 80,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EOG RES INC COM | 26875P101 | Stock | 129,400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PTC INC COM | 69370C100 | Stock | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 1,600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| TIMOTHY PLAN US LARGE/MID CAP CORE ETF | 887432359 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TWILIO INC CL A | 90138F102 | Stock | 4,200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NIO INC SPON ADS | 62914V106 | ADR | 100,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRECISION DRILLING CORP COM NEW | 74022D407 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ECOLAB INC COM | 278865100 | Stock | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 16,200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| HP INC COM | 40434L105 | Stock | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CELANESE CORP DEL COM | 150870103 | Stock | 10,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DENISON MINES CORP | 248356107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES U S ETF TR | 46431W663 | US CONSUMER FOC | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGF INVTS TR | 00110G408 | US MARKET NETRL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092527 | SML MID MLTFCT | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 40,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 85 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 156 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189H102 | DURABLE HGH DIV | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |