13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-13, with 7,640 holding rows worth $443,920,676,000.
- Accession
- 0000072971-21-000236
- Filer
- CIK 72971
- Filed
- 2021-05-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 21,599 entries on the cover page, a total value of $443,920,676,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $443,920,676,000 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 INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Management, LLC reporting on behalf of Citigroup, Inc
- included managerWells Fargo Funds Management, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWells Fargo Funds Management, LLC028-11406
- 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 |
|---|---|---|---|---|---|---|
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 9,788 | $98,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 2,087 | $98,000 | thousands by filing date | |
| SPROTT INC | 852066208 | COM NEW | 2,551 | $97,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 10,068 | $97,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 4,837 | $97,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 8,251 | $97,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 8,557 | $97,000 | thousands by filing date | |
| MUDRICK CAPITAL ACQU CORP II | 62477L115 | *W EXP 09/10/202 | 151,942 | $96,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 7,838 | $95,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 2,800 | $95,000 | thousands by filing date | put |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 843 | $95,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 1,271 | $95,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 7,973 | $95,000 | thousands by filing date | |
| GENERATION BIO CO | 37148K100 | COM | 3,348 | $95,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 12,388 | $94,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 4,293 | $94,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 11,831 | $94,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G888 | SHORT TERM ETF | 880 | $93,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 21,832 | $93,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 22,967 | $93,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,504 | $92,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 8,355 | $92,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 7,028 | $92,000 | thousands by filing date | |
| KALEYRA INC | 483379103 | COMMON EQUITY | 6,500 | $92,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q200 | COM NEW | 5,969 | $92,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 3,254 | $91,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 1,395 | $91,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 3,344 | $91,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 90,000 | $91,000 | thousands by filing date | principal |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 6,524 | $90,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 16,434 | $90,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 1,698 | $89,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 2,621 | $89,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 12,331 | $89,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 7,341 | $89,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 6,176 | $89,000 | thousands by filing date | |
| MIND TECHNOLOGY INC COM NEW | 602566101 | Stock | 39,682 | $89,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 3,976 | $88,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 3,489 | $88,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 21,932 | $88,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 12,419 | $88,000 | thousands by filing date | |
| EQONEX LIMITED | Y2074E109 | SHS | 8,000 | $88,000 | thousands by filing date | |
| REDBALL ACQUISITION CORP | G7417R113 | *W EXP 08/17/202 | 65,061 | $88,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 27,549 | $88,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 5,103 | $87,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 6,049 | $87,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 2,114 | $87,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 7,651 | $87,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 4,171 | $87,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 2,531 | $86,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 15,732 | $86,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 2,918 | $86,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 2,482 | $86,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 7,906 | $86,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 4,914 | $86,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 30,114 | $86,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 3,677 | $86,000 | thousands by filing date | |
| AGRIFY CORP | 00853E107 | COM | 6,893 | $86,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 8,358 | $85,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 6,363 | $85,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 11,157 | $85,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 24,909 | $84,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 7,000 | $84,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 27,924 | $84,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 80,000 | $84,000 | thousands by filing date | principal |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 6,389 | $83,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 4,253 | $83,000 | thousands by filing date | |
| WTS/GREENROSE ACQUISITION CORP EXP12/31/2024 | 395392111 | WARR | 100,000 | $83,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 4,491 | $83,000 | thousands by filing date | |
| HIMS & HERS HEALTH INC | 433000106 | COM CL A | 6,135 | $82,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 8,085 | $82,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 2,278 | $82,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 39,806 | $82,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 1,609 | $81,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 39,834 | $81,000 | thousands by filing date | |
| LIFEMD INC | 53216B104 | COM | 5,137 | $81,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 12,160 | $81,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049MAB6 | NOTE 0.250% 1/1 | 80,000 | $81,000 | thousands by filing date | principal |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 1,844 | $81,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 23,302 | $81,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 19,129 | $81,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 2,952 | $80,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 4,378 | $80,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 9,680 | $80,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 50,756 | $79,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 3,224 | $79,000 | thousands by filing date | |
| KINETIK HOLDINGS INC COM NEW CL A | 02215L209 | Stock | 1,504 | $79,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 5,195 | $79,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 4,388 | $79,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 9,016 | $79,000 | thousands by filing date | |
| GATOS SILVER INC | 368036109 | COM | 7,882 | $79,000 | thousands by filing date | |
| OMEROS CORP | 682143AG7 | NOTE 5.250% 2/1 | 64,000 | $79,000 | thousands by filing date | principal |
| DYNE THERAPEUTICS INC COM | 26818M108 | Stock | 5,049 | $78,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,701 | $78,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 906 | $78,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 29,027 | $78,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 5,337 | $78,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 6,190 | $78,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 27,549 | $78,000 | thousands by filing date | |
| LISTED FDS TR | 53656F789 | ROUN SPOR BE ETF | 2,535 | $78,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 5,021 | $78,000 | thousands by filing date | |
| ISHARES TR | 46435U218 | ESG MSCI LEADR | 1,109 | $77,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 3,028 | $77,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 12,536 | $77,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 21,263 | $77,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 19,363 | $77,000 | thousands by filing date | |
| CM LIFE SCIENCES II INC | 125842203 | UNIT 02/25/2028 | 6,000 | $77,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 835 | $76,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 2,145 | $76,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 17,172 | $75,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 1,445 | $75,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 3,565 | $75,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 2,686 | $75,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 13,195 | $75,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 4,534 | $75,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 25,398 | $75,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 56,188 | $75,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 29,646 | $75,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 29,050 | $74,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 5,000 | $74,000 | thousands by filing date | put |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 17,631 | $74,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 8,936 | $74,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 18,184 | $74,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 11,364 | $74,000 | thousands by filing date | |
| ALIGOS THERAPEUTICS INC COM NEW | 01626L105 | Stock | 3,269 | $74,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 4,556 | $74,000 | thousands by filing date | |
| SHATTUCK LABS INC | 82024L103 | COMMON STOCK | 2,472 | $73,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,996 | $73,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 2,019 | $73,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 1,321 | $73,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 7,734 | $73,000 | thousands by filing date | |
| VIRACTA THERAPEUTICS INC | 92765F108 | COM | 7,946 | $73,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 8,363 | $73,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 35,785 | $73,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 114,164 | $72,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 2,680 | $72,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 4,160 | $72,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 2,680 | $72,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 22,790 | $72,000 | thousands by filing date | |
| IQIYI INC | 46267XAE8 | NOTE 4.000%12/1 | 70,000 | $72,000 | thousands by filing date | principal |
| VINCERX PHARMA INC | 92731L106 | COM NEW | 3,758 | $72,000 | thousands by filing date | |
| YELLOWSTONE ACQUISITION CO | 98566K113 | *W EXP 10/21/202 | 89,500 | $72,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 3,132 | $72,000 | thousands by filing date | |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 1,138 | $71,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 6,747 | $71,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 5,034 | $71,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 22,333 | $71,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 48,041 | $71,000 | thousands by filing date | |
| REDBALL ACQUISITION CORP | G7417R105 | COM CL A | 7,160 | $71,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 200 | $70,000 | thousands by filing date | put |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 8,373 | $70,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857FAB3 | NOTE 1.500% 5/1 | 51,000 | $70,000 | thousands by filing date | principal |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 70,000 | $70,000 | thousands by filing date | principal |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $69,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 4,008 | $69,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 2,927 | $69,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 38,407 | $69,000 | thousands by filing date | |
| SIGNIFY HEALTH INC | 82671G100 | COM | 2,363 | $69,000 | thousands by filing date | |
| ELYS GAME TECHNOLOGY CORP | 290734102 | COM | 13,000 | $69,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 1,488 | $68,000 | thousands by filing date | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838U108 | COM | 13,597 | $68,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 889 | $68,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 4,958 | $68,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 9,198 | $68,000 | thousands by filing date | |
| 8X8 INC NEW | 282914AB6 | BOND | 49,000 | $68,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 100 | $67,000 | thousands by filing date | call |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 8,787 | $67,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 890 | $67,000 | thousands by filing date | |
| ALX ONCOLOGY HOLDINGS INC | 00166B105 | COMMON STOCK | 907 | $67,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 20,330 | $67,000 | thousands by filing date | |
| NORTHERN GENESIS ACQUISITION | 66516T104 | COMMON STOCK | 4,100 | $67,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 8,961 | $67,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 6,139 | $66,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 3,301 | $66,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 3,524 | $66,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 4,475 | $66,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 682 | $66,000 | thousands by filing date | |
| LANTERN PHARMA INC | 51654W101 | COM | 3,643 | $66,000 | thousands by filing date | |
| APRIA INC | 03836A101 | COMMON STOCK | 2,359 | $66,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 3,622 | $66,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 1,946 | $66,000 | thousands by filing date | |
| SEVEN OAKS ACQUISITION CORP | 81787X114 | *W EXP 12/22/202 | 72,500 | $66,000 | thousands by filing date | |
| WTS/BULL HORN HLDGS CORP EXP10/31/2025 | G1686P122 | COM | 152,454 | $66,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 10,102 | $65,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 18,018 | $65,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 6,234 | $65,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G773 | WORK FROM HOME | 950 | $65,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 4,299 | $65,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 8,868 | $65,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 13,890 | $65,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 30,496 | $65,000 | thousands by filing date | |
| AKOUOS INC | 00973J101 | COM | 4,676 | $65,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 16,555 | $65,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 8,316 | $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 |
| ZOMEDICA CORP COM | 98980M109 | Stock | 40,143 | $64,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 2,777 | $64,000 | thousands by filing date | |
| ITEOS THERAPEUTICS INC | 46565G104 | COM | 1,874 | $64,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 6,166 | $64,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 2,555 | $64,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 8,838 | $64,000 | thousands by filing date | |
| TARSUS PHARMACEUTICALS INC | 87650L103 | COMMON STOCK | 1,941 | $63,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 8,652 | $63,000 | thousands by filing date | |
| NEOGAMES S A | L6673X107 | COM | 1,766 | $63,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 10,401 | $63,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 6,411 | $63,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 26,603 | $63,000 | thousands by filing date | principal |
| Altria Group Inc | 02209S103 | COM | 1,215 | $62,000 | thousands by filing date | put |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,574 | $62,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 2,035 | $62,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 9,331 | $62,000 | thousands by filing date | |
| FUSION FUEL GREEN PLC | G3R25D118 | CL A | 4,625 | $62,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 19,037 | $62,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 5,173 | $62,000 | thousands by filing date | |
| CARNEY TECHNOLOGY ACQU CORP | 143636116 | *W EXP 11/30/202 | 75,139 | $62,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 8,553 | $62,000 | thousands by filing date | |
| CM LIFE SCIENCES INC | 18978W109 | COM CL A | 4,140 | $62,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 18,066 | $61,000 | thousands by filing date | |
| CHOICEONE FINANCIAL SVCS INC | 170386106 | COMMON STOCK | 2,524 | $61,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2028 MUNICIPAL BOND ETF | 46138J486 | UIE | 2,344 | $61,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 4,161 | $61,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 683 | $61,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 11,671 | $61,000 | thousands by filing date | |
| ENETI INC | Y2294C107 | COM | 2,885 | $61,000 | thousands by filing date | |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 61,000 | $61,000 | thousands by filing date | principal |
| GENIUS SPORTS LIMITED | 233277102 | SHARES CL A | 4,150 | $61,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 13,762 | $61,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 5,721 | $61,000 | thousands by filing date | |
| TERNS PHARMACEUTICALS INC COM | 880881107 | Stock | 2,714 | $60,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 33,947 | $60,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 800 | $60,000 | thousands by filing date | call |
| INVESCO BULLETSHARES 2029 MUNICIPAL BOND ETF | 46138J478 | ETF | 2,346 | $60,000 | thousands by filing date | |
| PROSHARES TR | 74347G705 | ULTRA ENERGY | 501 | $60,000 | thousands by filing date | |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 2,403 | $60,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 2,532 | $60,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 6,290 | $60,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 9,904 | $60,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 6,502 | $59,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 11,599 | $59,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 8,965 | $59,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q460 | CMN | 750 | $59,000 | thousands by filing date | |
| PRAXIS PRECISION MEDICINES I | 74006W108 | COM | 1,818 | $59,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 5,926 | $59,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T209 | COM NEW | 6,835 | $58,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,886 | $58,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 23,313 | $58,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 707 | $58,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 2,652 | $58,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 9,844 | $58,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 27,897 | $58,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 104 | $58,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 5,446 | $57,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 5,883 | $57,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 4,171 | $57,000 | thousands by filing date | |
| HUMANIGEN INC | 444863203 | COM NEW | 3,002 | $57,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 20,147 | $57,000 | thousands by filing date | |
| ALPHA METALLURGICAL RESOUR I | 020764106 | COM | 4,416 | $56,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 3,282 | $56,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 5,968 | $56,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 12,522 | $56,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 1,527 | $56,000 | thousands by filing date | |
| SQZ BIOTECHNOLOGIES CO | 78472W104 | COM | 4,135 | $56,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 1,959 | $56,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 2,134 | $55,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,318 | $55,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 9,068 | $55,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P553 | US CORE BOND ETF | 2,200 | $55,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 5,059 | $55,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 4,497 | $55,000 | thousands by filing date | |
| VIEW INC | 92671V106 | COM | 7,400 | $55,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 3,114 | $55,000 | thousands by filing date | |
| TZP STRATEGIES ACQUISTN CORP | G91595127 | UNIT 01/06/2026 | 5,500 | $55,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 1,025 | $54,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 2,551 | $54,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 8,945 | $54,000 | thousands by filing date | |
| ADC THERAPEUTICS SA | H0036K147 | COMMON STOCK | 2,200 | $54,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 6,608 | $54,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 16,078 | $54,000 | thousands by filing date | |
| ARCLIGHT CLEAN TRANSITION CO | G04561109 | CL A | 3,008 | $54,000 | thousands by filing date | |
| SIGILON THERAPEUTICS INC | 82657L107 | COM | 2,409 | $54,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 3,900 | $54,000 | thousands by filing date | |
| BETTER WORLD ACQUISITION COR | 08772B112 | *W EXP 11/15/202 | 52,000 | $54,000 | thousands by filing date | |
| CLIMATE REAL IMPACT SLUTINS | 187171202 | UNIT 99/99/9999 | 5,400 | $54,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 5,326 | $53,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 4,586 | $53,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 5,020 | $53,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 12,149 | $53,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 7,744 | $53,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 2,085 | $53,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 8,450 | $53,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 7,759 | $53,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N300 | CL A | 3,772 | $53,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 2,391 | $53,000 | thousands by filing date | |
| GCM GROSVENOR INC | 36831E116 | W EXP 11/17/202 | 45,000 | $53,000 | thousands by filing date | |
| TALIS BIOMEDICAL CORP | 87424L108 | CMN | 4,138 | $53,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 23,993 | $52,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 15,502 | $52,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 15,933 | $52,000 | thousands by filing date | |
| Greenpower Motor Co | 39540E302 | COM | 2,100 | $52,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 6,275 | $52,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRGY SHS BEN INT | 151461209 | CEF | 4,730 | $52,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 1,233 | $51,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 2,868 | $51,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 309 | $51,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 2,326 | $51,000 | thousands by filing date | |
| VISLINK TECHNOLOGIES INC | 92836Y300 | COM | 17,196 | $51,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 3,451 | $51,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,478 | $51,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 6,560 | $51,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 800 | $50,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,000 | $50,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 1,694 | $50,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 2,500 | $50,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 3,004 | $50,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 3,081 | $50,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 7,440 | $50,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP VII | 17144M201 | UNIT 99/99/9999 | 5,000 | $50,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 1,106 | $49,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 1,355 | $49,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 2,765 | $49,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 5,495 | $49,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 31,967 | $49,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 1,500 | $48,000 | thousands by filing date | put |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 12,174 | $48,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 3,000 | $48,000 | thousands by filing date | put |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 1,906 | $48,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 1,807 | $48,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 5,579 | $48,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 1,694 | $48,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 5,996 | $48,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 6,100 | $48,000 | thousands by filing date | |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 45,000 | $48,000 | thousands by filing date | principal |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,491 | $47,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 1,027 | $47,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 3,100 | $47,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 3,996 | $47,000 | thousands by filing date | |
| REPARE THERAPEUTICS INC | 760273102 | COM | 1,518 | $47,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 486 | $47,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 5,117 | $47,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 2,903 | $47,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 50,000 | $47,000 | thousands by filing date | principal |
| CREATD INC | 225265107 | COM | 11,046 | $47,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L207 | COMMON | 1,553 | $47,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 22,908 | $47,000 | thousands by filing date | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 4,770 | $46,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 22,550 | $46,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE | 833636111 | RIGHT 04/19/2021 | 14,944 | $46,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 1,470 | $46,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 2,205 | $46,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 5,751 | $46,000 | thousands by filing date | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 4,766 | $46,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678507 | COM | 10,538 | $46,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 8,497 | $46,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 6,274 | $46,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 2,084 | $45,000 | thousands by filing date | |
| PURECYCLE TECHNOLOGIES INC | 74623V103 | COM | 1,745 | $45,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 20,328 | $45,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 500 | $45,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 2,411 | $45,000 | thousands by filing date | |
| IQIYI INC | 46267XAD0 | NOTE 2.000% 4/0 | 49,000 | $45,000 | thousands by filing date | principal |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 3,718 | $45,000 | thousands by filing date | |
| SENIOR CONNECT ACQUISITN COR | 81723H207 | UNIT 12/09/2023 | 4,490 | $45,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 26,012 | $45,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 1,750 | $45,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 9,964 | $45,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 6,340 | $45,000 | thousands by filing date | |
| CASCADE ACQUISITION CORP WT EXP 113027 | 147151112 | COM | 50,000 | $45,000 | thousands by filing date | |
| ATLAS CREST INVT CORP | 049284102 | COM | 4,428 | $45,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G106 | ORD SHS | 4,000 | $45,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 500 | $44,000 | thousands by filing date | put |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 2,061 | $44,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,952 | $44,000 | thousands by filing date | |
| PRELUDE THERAPEUTICS INC | 74065P101 | CMN | 1,015 | $44,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,438 | $44,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $44,000 | thousands by filing date | principal |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 4,257 | $44,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 3,589 | $44,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 4,440 | $44,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 1,166 | $44,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 13,098 | $44,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,263 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 775 | $43,000 | thousands by filing date | |
| ADVENT TECHNOLOGIES HOLDNG I | 00788A105 | COM CL A | 3,224 | $43,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U113 | COM | 4,000 | $43,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 15,413 | $43,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K200 | COM | 2,494 | $43,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,781 | $42,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F207 | COM NEW | 5,730 | $42,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 5,751 | $42,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 22,269 | $42,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 7,905 | $42,000 | thousands by filing date | |
| LAIRD SUPERFOOD INC | 50736T102 | CMN | 1,141 | $42,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E715 | ETC CABANA TARGT | 1,659 | $42,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 5,066 | $42,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 10,187 | $42,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 3,053 | $42,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 39,000 | $42,000 | thousands by filing date | principal |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 11,119 | $42,000 | thousands by filing date | |
| SHIFT TECHNOLOGIES INC | 82452T107 | CL A | 5,078 | $42,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 5,022 | $42,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 23,032 | $42,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 87 | $41,000 | thousands by filing date | put |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 4,377 | $41,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 550 | $41,000 | thousands by filing date | |
| INOTIV INC | 45783Q100 | COM | 2,047 | $41,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,195 | $41,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 664 | $41,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 11,241 | $41,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 62,751 | $41,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 11,831 | $41,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 9,316 | $41,000 | thousands by filing date | |
| TPG PACE TECH OPPORTUNITIES | G8990Y111 | UNIT 99/99/9999 | 4,000 | $41,000 | thousands by filing date | |
| MARA HOLDINGS INC COM | 565788106 | Stock | 836 | $40,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME OPRNTS | 69355M107 | COM BEN SHS | 2,000 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 626 | $40,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,020 | $40,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 5,919 | $40,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 8,500 | $40,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 2,976 | $40,000 | thousands by filing date | |
| FORMA THERAPEUTICS HLDGS INC | 34633R104 | SHS | 1,410 | $40,000 | thousands by filing date | |
| COLLECTIVE GROWTH CORP | 19424L101 | COM CL A | 4,000 | $40,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 18,439 | $40,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 3,211 | $40,000 | thousands by filing date | |
| SUPERNOVA PARTNERS ACQUISITI | 86846V207 | UNIT 99/99/9999 | 3,775 | $40,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 6,237 | $39,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 1,606 | $39,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 3,922 | $39,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 7,029 | $39,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 20,044 | $39,000 | thousands by filing date | |
| JAKKS PAC INC | 47012E403 | COM NEW | 5,396 | $38,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,402 | $38,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 614 | $38,000 | thousands by filing date | |
| GREENWICH LIFESCIENCES INC | 396879108 | COMMON STOCK | 1,134 | $38,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 721 | $38,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 8,666 | $38,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 14,434 | $38,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 27,433 | $38,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 4,634 | $38,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 15,000 | $38,000 | thousands by filing date | |
| NEXIMMUNE INC | 65344D109 | COM | 2,004 | $38,000 | thousands by filing date | |
| GIGCAPITAL2 INC | 375036118 | *W EXP 02/28/202 | 51,300 | $38,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 40,000 | $38,000 | thousands by filing date | principal |
| IRON MTN INC DEL COM | 46284V101 | REIT | 1,000 | $37,000 | thousands by filing date | put |
| ICL GROUP LTD SHS | M53213100 | Stock | 6,231 | $37,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 2,000 | $37,000 | thousands by filing date | put |
| BIOVENTUS INC | 09075A108 | COM CL A | 2,408 | $37,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 4,662 | $37,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 4,269 | $37,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 2,156 | $37,000 | thousands by filing date | |
| STAR EQUITY HOLDINGS INC | 443787205 | COM NEW | 2,220 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 567 | $37,000 | thousands by filing date | |
| BIODESIX INC | 09075X108 | COM | 1,838 | $37,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 835 | $37,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 7,045 | $37,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 7,893 | $37,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 4,125 | $37,000 | thousands by filing date | |
| MEAT TECH 3D LTD | 583435102 | COM | 4,000 | $37,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P110 | SHS NEW | 4,900 | $37,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 2,823 | $37,000 | thousands by filing date | |
| RMG ACQUISITION CORP II | G76083107 | CL A SHS | 3,700 | $37,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP | G0370L124 | UNIT 99/99/9999 | 3,000 | $37,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 4,059 | $36,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 1,836 | $36,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 1,703 | $36,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 3,531 | $36,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 1,584 | $36,000 | thousands by filing date | |
| SPRUCE BIOSCIENCES INC | 85209E109 | COM | 2,174 | $36,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 2,514 | $36,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 10,286 | $36,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 7,999 | $36,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 7,496 | $36,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,025 | $36,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 11,641 | $36,000 | thousands by filing date | |
| SPORTS VENTURES ACQUISIN COR | G8372A129 | WTS | 41,540 | $36,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 1,500 | $36,000 | thousands by filing date | |
| TREPONT ACQUISITION COR-CW26 | G9095M127 | *W EXP 11/24/202 | 50,000 | $36,000 | thousands by filing date | |
| LIONHEART ACQUISITION CORP II WT EXP 021426 | 53625R112 | COM | 50,000 | $36,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 1,390 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 711 | $35,000 | thousands by filing date | |
| DADA NEXUS LTD NPV ADR | 23344D108 | ADS | 1,300 | $35,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 5,142 | $35,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 5,853 | $35,000 | thousands by filing date | |
| ANGION BIOMEDICA CORP | 03476J107 | COM | 1,910 | $35,000 | thousands by filing date | |
| SENSEI BIOTHERAPEUTICS INC | 81728A108 | COM | 2,380 | $35,000 | thousands by filing date | |
| 26 CAPITAL ACQUISITION CORP | 90138P209 | UNIT 12/31/2027 | 3,450 | $35,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 11,786 | $35,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 35,386 | $35,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,384 | $35,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 2,855 | $35,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 602 | $34,000 | thousands by filing date | |
| KYMERA THERAPEUTICS INC | 501575104 | COM | 889 | $34,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 3,350 | $34,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 1,884 | $34,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 1,703 | $34,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 9,090 | $34,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 3,326 | $34,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 187 | $33,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 2,204 | $33,000 | thousands by filing date | |
| ONCORUS INC | 68236R103 | COM | 2,358 | $33,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514103 | SHS CL A | 3,050 | $33,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-21-000236 | this filing | 2021-05-13 | acceptance time not in the bulk data set |