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 |
|---|---|---|---|---|---|---|
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 13,850 | $33,000 | thousands by filing date | |
| BREEZE HOLDINGS ACQUISITN CO | 106762115 | *W EXP 05/25/202 | 50,996 | $33,000 | thousands by filing date | |
| ARTIUS ACQUISITION INC | 04316G105 | COM CL A | 3,250 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 778 | $32,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 1,833 | $32,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 6,616 | $32,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 2,453 | $32,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 56 | $32,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 5,634 | $32,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 7,935 | $32,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 4,433 | $32,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 1,158 | $31,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 2,093 | $31,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 2,098 | $31,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 10,815 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,039 | $31,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,588 | $31,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,026 | $31,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 2,098 | $31,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 1,413 | $31,000 | thousands by filing date | |
| MESA LABS INC | 59064RAA7 | NOTE 1.375% 8/1 | 29,000 | $31,000 | thousands by filing date | principal |
| GAMIDA CELL LTD | M47364100 | SHS | 3,823 | $31,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 4,919 | $31,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 904 | $31,000 | thousands by filing date | |
| CODIAK BIOSCIENCES INC | 192010106 | COM | 2,027 | $31,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 6,261 | $31,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 34,000 | $31,000 | thousands by filing date | principal |
| ZEVRA THERAPEUTICS INC COM NEW | 488445206 | Stock | 3,325 | $30,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 2,257 | $30,000 | thousands by filing date | |
| FOGHORN THERAPEUTICS INC | 344174107 | COMMON STOCK | 2,251 | $30,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 701 | $30,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 1,493 | $30,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 3,510 | $30,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 2,597 | $30,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 11,300 | $30,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,569 | $30,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $30,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 10,669 | $30,000 | thousands by filing date | |
| SCP & CO HEALTHCARE ACQUSTN | 784065203 | UNT | 3,000 | $30,000 | thousands by filing date | |
| CHARGEPOINT HOLDINGS IN-CW24 | 15961r113 | WT | 2,000 | $30,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 2,600 | $29,000 | thousands by filing date | call |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 6,159 | $29,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q670 | CORE PLUS BD ETF | 537 | $29,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 8,202 | $29,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,315 | $29,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $29,000 | thousands by filing date | |
| XWELL INC COM NEW | 98420U703 | Stock | 15,612 | $29,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 28,000 | $29,000 | thousands by filing date | principal |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 8,982 | $29,000 | thousands by filing date | |
| PRIME IMPACT ACQUISITION I | G61074129 | *W EXP 10/01/203 | 34,927 | $29,000 | thousands by filing date | |
| MINGZHU LOGISTICS HLDGS LTD | G6180C105 | COM | 6,300 | $29,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 6,015 | $29,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 800 | $28,000 | thousands by filing date | put |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 13,156 | $28,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 3,034 | $28,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 721 | $28,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 9,856 | $28,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 11,867 | $28,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 5,858 | $28,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 29,000 | $28,000 | thousands by filing date | principal |
| PDL CMNTY BANCORP | 69290X101 | COM | 2,550 | $28,000 | thousands by filing date | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 431 | $27,000 | thousands by filing date | |
| DADA NEXUS LTD NPV ADR | 23344D108 | ADS | 1,000 | $27,000 | thousands by filing date | put |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 1,381 | $27,000 | thousands by filing date | |
| ADVANTAGE SOLUTIONS INC. | 00791N102 | COM CL A | 2,280 | $27,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $27,000 | thousands by filing date | |
| JAWS MUSTANG ACQUISITION CORP SHS CL A | G50737108 | Stock | 2,684 | $27,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,265 | $27,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 2,200 | $27,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 3,465 | $27,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 541 | $26,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 1,500 | $26,000 | thousands by filing date | put |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 1,025 | $26,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,037 | $26,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 11,000 | $26,000 | thousands by filing date | |
| WIDEPOINT CORP | 967590209 | COMMON | 2,851 | $26,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 1,700 | $26,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 9,530 | $26,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 731 | $26,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 15,541 | $26,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 22,880 | $26,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602605 | COM NEW | 1,706 | $26,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 124 | $26,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,238 | $26,000 | thousands by filing date | |
| EYEPOINT INC COM NEW | 30233G209 | Stock | 2,441 | $25,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 148 | $25,000 | thousands by filing date | |
| NEW YORK LIFE INVTS ACTIVE E | 45409F843 | MACK MU INSD ETF | 900 | $25,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 4,703 | $25,000 | thousands by filing date | |
| DECIBEL THERAPEUTICS INC | 24343R106 | COM | 2,229 | $25,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518306 | UNIT 04/01/2024 | 500 | $25,000 | thousands by filing date | |
| CYCLACEL PHARMACE 6percent PFDCONV | 23254L603 | Stock | 3,542 | $25,000 | thousands by filing date | |
| PRECIPIO INC | 74019L503 | COM | 11,112 | $25,000 | thousands by filing date | |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 480 | $24,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 8,865 | $24,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 702 | $24,000 | thousands by filing date | |
| ARKO CORP | 041242108 | COMMON STOCK | 2,419 | $24,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 391 | $24,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 1,650 | $24,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 5,068 | $24,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 13,110 | $24,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 4,524 | $24,000 | thousands by filing date | |
| SUNWORKS INC | 86803X204 | COMMON STOCK | 1,656 | $24,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 2,085 | $24,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 7,654 | $24,000 | thousands by filing date | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 7,333 | $24,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 18,815 | $24,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 3,381 | $24,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 847 | $23,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 916 | $23,000 | thousands by filing date | |
| SIREN ETF TR | 829658202 | NEXGEN ECONOMY | 470 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 573 | $23,000 | thousands by filing date | |
| MULTIPLAN CORPORATION | 62548M100 | COM | 4,287 | $23,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 10,777 | $23,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 766 | $23,000 | thousands by filing date | |
| FORUM MERGER III CORP | 349885103 | COM CL A | 2,300 | $23,000 | thousands by filing date | call |
| PROSHARES TR | 74347B813 | mc | 593 | $23,000 | thousands by filing date | |
| NUVATION BIO INC COM CL A | 67080N101 | Stock | 2,107 | $22,000 | thousands by filing date | |
| IMMUNOME INC | 45257U108 | COM | 664 | $22,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 9,633 | $22,000 | thousands by filing date | |
| Yalla Group Ltd | 98459U103 | COM | 865 | $22,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 4,677 | $22,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 19,000 | $22,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 4,555 | $22,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 3,687 | $22,000 | thousands by filing date | |
| CERBERUS TELECOM ACQUISITION | G2040C120 | *W EXP 99/99/999 | 21,342 | $22,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744120 | UNIT 99/99/9999 | 1,500 | $22,000 | thousands by filing date | |
| JOYY INC ADS REPSTG COM A | 46591M109 | ADR | 234 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 500 | $21,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 3,736 | $21,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 200 | $21,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 562 | $21,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 392 | $21,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,999 | $21,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,020 | $21,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W100 | COM CL A | 1,566 | $21,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDIN | 890260706 | COM | 16,387 | $21,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 6,317 | $21,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760194 | COM | 20,000 | $21,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 10,533 | $21,000 | thousands by filing date | |
| INTRUSION INC COM NEW | 46121e205 | COM | 889 | $21,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 6,330 | $21,000 | thousands by filing date | |
| METROMILE INC | 591697107 | COM | 2,017 | $21,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,114 | $21,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 4,451 | $21,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,424 | $21,000 | thousands by filing date | |
| FTAC OLYMPUS ACQUISITION COR | G37288100 | CL A SHS | 2,000 | $21,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 7,808 | $21,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 848 | $20,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 300 | $20,000 | thousands by filing date | put |
| VALUE LINE INC | 920437100 | COMMON STOCK | 717 | $20,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 3,084 | $20,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 500 | $20,000 | thousands by filing date | |
| ISHARES IBONDS 2026 TERM HIGH YIELD AND INCOME ETF | 46436E528 | ETF | 790 | $20,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 800 | $20,000 | thousands by filing date | |
| Vital Energy Inc | 516806205 | Common Stock | 687 | $20,000 | thousands by filing date | |
| APOLLO STRATEGIC GROWTH CAPITAL | G0411R106 | COMMON STOCK-FO | 1,966 | $20,000 | thousands by filing date | |
| AYRO INC | 054748108 | COM | 3,152 | $20,000 | thousands by filing date | |
| PORTAGE BIOTECH INC | G7185A128 | COM | 700 | $20,000 | thousands by filing date | |
| JOANN INC | 47768J101 | COM | 1,950 | $20,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 1,812 | $20,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 18,748 | $20,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 2,337 | $20,000 | thousands by filing date | |
| ALTITUDE ACQUISITION CORP | 02156Y103 | COM CL A | 2,007 | $20,000 | thousands by filing date | |
| REINVENT TECHNOLOGY PARTNERS | G74847107 | SHS CL A | 2,000 | $20,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP III | 12529D108 | CL A | 2,000 | $20,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 450 | $19,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 100 | $19,000 | thousands by filing date | put |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 5,001 | $19,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 4,022 | $19,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072307 | US QUALITY GROW | 301 | $19,000 | thousands by filing date | |
| PLAYTIKA HOLDING CORP | 72815L107 | COMMON STOCK | 716 | $19,000 | thousands by filing date | |
| AMERICAN CENTURY ETF TR QUALITY DIVERSIFIED INTL | 025072406 | ETF | 377 | $19,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 709 | $19,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 75 | $19,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 379 | $19,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 1,308 | $19,000 | thousands by filing date | |
| PASSAGE BIO INC | 702712100 | COM | 1,058 | $19,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 3,285 | $19,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 13,585 | $19,000 | thousands by filing date | |
| AMERICAN VRTUAL CLOUD TECH I | 030382105 | COM | 3,323 | $19,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 2,400 | $19,000 | thousands by filing date | |
| LANDOS BIOPHARMA INC | 515069102 | CMN | 1,974 | $19,000 | thousands by filing date | |
| MIDWEST HLDG INC | 59833J206 | COM NEW | 385 | $19,000 | thousands by filing date | |
| ONE | G7000X105 | COM CL A | 1,639 | $19,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 70 | $18,000 | thousands by filing date | put |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,504 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 915 | $18,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 3,308 | $18,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 616 | $18,000 | thousands by filing date | |
| SCOPUS BIOPHARMA INC | 809171101 | Equity | 2,188 | $18,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 3,398 | $18,000 | thousands by filing date | |
| AFRICAN GOLD ACQUISITION COR | G0112R124 | WTS | 37,500 | $18,000 | thousands by filing date | |
| MEDAVAIL HOLDINGS INC | 58406B103 | COM | 1,320 | $18,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 6,390 | $18,000 | thousands by filing date | |
| CARLOTZ INC | 142552116 | *W EXP 02/26/202 | 10,695 | $18,000 | thousands by filing date | |
| NEW BEGINNINGS ACQUISITION C | 64222H100 | COM | 1,799 | $18,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 2,146 | $17,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 1,745 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,062 | $17,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 4,793 | $17,000 | thousands by filing date | |
| DUCKHORN PORTFOLIO INC | 26414D106 | COM | 1,000 | $17,000 | thousands by filing date | |
| LANDSEA HOMES CORP | 51509P103 | COM | 1,784 | $17,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 292 | $17,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 473 | $17,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 1,600 | $17,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215207 | COM NEW | 270 | $16,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 300 | $16,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P300 | NUVEEN ESG LRGVL | 454 | $16,000 | thousands by filing date | |
| DATTO HOLDING CORPORATION | 23821D100 | COM | 683 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 661 | $16,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W405 | COM | 7,312 | $16,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 163 | $16,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,684 | $16,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 407 | $16,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,824 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 547 | $16,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 4,953 | $16,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 27,200 | $16,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q613 | US AGGREGATE | 604 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 588 | $16,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 4,112 | $16,000 | thousands by filing date | |
| ALPHA HEALTHCARE ACQUISTN CO | 020751103 | CL A | 1,500 | $16,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 4,676 | $15,000 | thousands by filing date | |
| Invesco BulletShares 2030 Corp Bd ETF | 46138J460 | SHS | 790 | $15,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 5,142 | $15,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 200 | $15,000 | thousands by filing date | put |
| INNOVATOR ETFS TRUST | 45782C656 | US EQTY PWR BUF | 534 | $15,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,230 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 114 | $15,000 | thousands by filing date | |
| MYOMO INC | 62857J201 | COM NEW | 1,227 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J445 | INVSC 30 MUNI BD | 600 | $15,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,020 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 502 | $15,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 2,196 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 401 | $15,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 688 | $15,000 | thousands by filing date | |
| SPRING VALLEY ACQ CORP | G8377A108 | COMMON STOCK-FO | 1,500 | $15,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 3,500 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,431 | $15,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,594 | $15,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 631 | $15,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 3,000 | $15,000 | thousands by filing date | |
| AURIS MEDICAL HOLDING LTD | G07025201 | SHS | 4,335 | $15,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 2,651 | $14,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 2,457 | $14,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 361 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 460 | $14,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 3,504 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 400 | $14,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 207 | $14,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y412 | RANGER EQUITY BE | 560 | $14,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 1,541 | $14,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 1,333 | $14,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U121 | *W EXP 09/30/202 | 5,000 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 1,500 | $14,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 1,686 | $14,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,043 | $14,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,740 | $14,000 | thousands by filing date | |
| WEIDAI LTD | 94861A108 | SPONS ADS | 10,500 | $14,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644148 | SHS NEW | 3,253 | $14,000 | thousands by filing date | |
| STAR PEAK ENERGY TRANSITION | 855185112 | *W EXP 08/11/202 | 1,000 | $14,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 100 | $13,000 | thousands by filing date | put |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 424 | $13,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 4,470 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 249 | $13,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 2,392 | $13,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 1,113 | $13,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 752 | $13,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 2,195 | $13,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 5,840 | $13,000 | thousands by filing date | |
| THREDUP INC CLASS A | 88556E102 | COMMON STOCK | 578 | $13,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 820 | $13,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 2,008 | $13,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 755 | $13,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 13,000 | $13,000 | thousands by filing date | principal |
| HOLICITY INC | 435063201 | UNIT 08/05/2025 | 1,000 | $13,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 3,272 | $13,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,039 | $13,000 | thousands by filing date | |
| METACRINE INC | 59101E103 | COM | 2,067 | $13,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 2,200 | $13,000 | thousands by filing date | |
| ELUTIA INC | 05479K106 | CL A COM | 846 | $12,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 6,907 | $12,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q691 | LEASERSHS ALPHAF | 366 | $12,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 1,210 | $12,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 2,068 | $12,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,133 | $12,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 275 | $12,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 151 | $12,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 1,611 | $12,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 1,673 | $12,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 3,295 | $12,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,223 | $12,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,233 | $12,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 8,000 | $12,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 501 | $12,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 429 | $12,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 5,786 | $12,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 771 | $12,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 7,505 | $12,000 | thousands by filing date | |
| FUSION ACQUISITION CORP | 36118H105 | CL A | 1,200 | $12,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 1,716 | $12,000 | thousands by filing date | |
| PANBELA THERAPEUTICS INC | 69833Q100 | COM | 3,016 | $12,000 | thousands by filing date | |
| DEERFIELD HEALTHCARE TECH AC | 244413100 | COM CL A | 1,007 | $12,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 1,500 | $11,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C748 | US EQTY PWR BUF | 365 | $11,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P827 | FTSE CANADA | 374 | $11,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 226 | $11,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 839 | $11,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 605 | $11,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 780 | $11,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 377 | $11,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS | 00507W206 | COM | 1,374 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 238 | $11,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 3,230 | $11,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 1,244 | $11,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 641 | $11,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 838 | $11,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 3,000 | $11,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 9,094 | $11,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 564 | $11,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 2,356 | $11,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 2,037 | $11,000 | thousands by filing date | |
| ALTITUDE ACQUISITION CORP | 02156Y202 | UNIT 11/30/2027 | 1,000 | $11,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 8,019 | $11,000 | thousands by filing date | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 1,820 | $11,000 | thousands by filing date | |
| HALL OF FAME RESORT & ENTMT | 40619L102 | COM | 2,273 | $11,000 | thousands by filing date | |
| HORIZON ACQUISITION CORPORAT | G46044106 | CMN | 1,100 | $11,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 12,000 | $11,000 | thousands by filing date | principal |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 2,140 | $11,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 11,000 | $11,000 | thousands by filing date | principal |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 786 | $10,000 | thousands by filing date | |
| COSAN S A ADS | 22113B103 | ADR | 636 | $10,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 689 | $10,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,997 | $10,000 | thousands by filing date | |
| CLEARPOINT NEURO INC | 18507C103 | COM | 486 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 285 | $10,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 2,660 | $10,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 484 | $10,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 302 | $10,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 1,549 | $10,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 908 | $10,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 2,007 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 368 | $10,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,061 | $10,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 3,891 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 406 | $10,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 678 | $10,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 5,696 | $10,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 13,874 | $10,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 10,500 | $10,000 | thousands by filing date | principal |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 4,971 | $10,000 | thousands by filing date | |
| COMSTOCK INC | 205750300 | COM NEW | 2,361 | $10,000 | thousands by filing date | |
| ALSET EHOME INTERNATIONAL IN | 02116A104 | COM | 894 | $10,000 | thousands by filing date | |
| KINS TECHNOLOGY GROUP INC | 49714K208 | UNIT 10/14/2025 | 1,000 | $10,000 | thousands by filing date | |
| CONX CORP | 212873202 | UNIT 10/30/2027 | 978 | $10,000 | thousands by filing date | |
| ACE Convergence Acquisition Corp | G0083D120 | COM | 1,000 | $10,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 5,500 | $10,000 | thousands by filing date | principal |
| DECARBONIZATION PLUS ACQU CO | 242797108 | COM CL A | 1,000 | $10,000 | thousands by filing date | |
| CM LIFE SCIENCES INC | 18978W117 | *W EXP 09/04/202 | 2,000 | $10,000 | thousands by filing date | |
| FG NEW AMER ACQUISITION CORP | 30259V106 | COM | 1,000 | $10,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L105 | COM CL A | 1,000 | $10,000 | thousands by filing date | |
| GAUCHO GROUP HLDGS INC COM NEW | 36809R206 | Stock | 2,872 | $10,000 | thousands by filing date | |
| APPLIED UV INC | 03828V105 | COM | 1,016 | $10,000 | thousands by filing date | |
| PROGRESS ACQUISITION CORP | 74327P204 | UNIT 12/25/2025 | 965 | $10,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP UNIT EX | G23726121 | Stock | 1,000 | $10,000 | thousands by filing date | |
| PATRIA INVESTMENTS LIMITED | G69451105 | COM CL A | 500 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 346 | $9,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q774 | LDRSHS ALPFACT | 277 | $9,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 100 | $9,000 | thousands by filing date | put |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 181 | $9,000 | thousands by filing date | |
| TIM SA-ADR | 88706T108 | SPONSORED ADR | 749 | $9,000 | thousands by filing date | |
| SPACE EX TECH SPACEX CLASS A | 19423L672 | Equity | 300 | $9,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 857 | $9,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 733 | $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 | |
| PHENIXFIN CORP | 71742W103 | COM | 283 | $9,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 2,001 | $9,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 1,129 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 10,000 | $9,000 | thousands by filing date | principal |
| EXFO INC | 302046107 | SUB VTG SHS | 2,000 | $9,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 354 | $9,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 3,765 | $9,000 | thousands by filing date | |
| Renalytix PLC | 75973T101 | ADS | 350 | $9,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 579 | $9,000 | thousands by filing date | |
| CANOO INC | 13803R110 | *W EXP 12/21/202 | 3,250 | $9,000 | thousands by filing date | |
| G SQUARED ASCEND I INC | G4204R125 | UNIT 99/99/9999 | 900 | $9,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681204 | UNIT 07/01/2027 | 883 | $9,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 1,232 | $9,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 6,000 | $9,000 | thousands by filing date | principal |
| SUSTAINABLE OPPORTNTS ACQ CO | G8598Y117 | W EXP 99/99/999 | 10,000 | $9,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 5,000 | $9,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP II | 92244F208 | UNIT 99/99/9999 | 860 | $9,000 | thousands by filing date | |
| UPHEALTH INC | 375036100 | Common Stock | 900 | $9,000 | thousands by filing date | |
| LIANLUO SMART LTD | G5478K118 | COM CL A NEW | 1,000 | $9,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 7,501 | $8,000 | thousands by filing date | |
| VIRIDIAN THERAPEUTICS INC | 92790C104 | COM | 490 | $8,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,033 | $8,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,074 | $8,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 1,000 | $8,000 | thousands by filing date | call |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 339 | $8,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 100 | $8,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 1,113 | $8,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,056 | $8,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 560 | $8,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 710 | $8,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 1,591 | $8,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 377 | $8,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 5,440 | $8,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 5,000 | $8,000 | thousands by filing date | principal |
| ACIES ACQUISITION CORP | G0103T113 | *W EXP 11/30/202 | 5,482 | $8,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F111 | *W EXP 04/21/202 | 5,000 | $8,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 7,216 | $8,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 31 | $7,000 | thousands by filing date | put |
| SANA BIOTECHNOLOGY INC | 799566104 | COM | 218 | $7,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 492 | $7,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 648 | $7,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q683 | LEADERSHS EQT | 199 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 102 | $7,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 151 | $7,000 | thousands by filing date | |
| Gaotu Techedu Inc | 36257Y109 | COM | 200 | $7,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 301 | $7,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 293 | $7,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 588 | $7,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,250 | $7,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 6,195 | $7,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 1,266 | $7,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 2,000 | $7,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 4,219 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 226 | $7,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,009 | $7,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 564 | $7,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 600 | $7,000 | thousands by filing date | |
| VERSUS SYSTEMS INC | 92535P808 | COM NEW | 955 | $7,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 1,306 | $7,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 6,442 | $7,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 7,500 | $7,000 | thousands by filing date | principal |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 1,647 | $7,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 1,038 | $7,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 7,179 | $7,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 3,571 | $7,000 | thousands by filing date | |
| Rodgers Silicon Valley Acquisition Corp | 774873202 | Unit | 500 | $7,000 | thousands by filing date | |
| iShares ESG Aware US Aggregate Bond ETF | 46435U549 | SHS | 109 | $6,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 450 | $6,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 1,200 | $6,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 4,993 | $6,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 5,000 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 63 | $6,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 886 | $6,000 | thousands by filing date | |
| VALHI INC | 918905209 | COMMON STOCK | 308 | $6,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 1,135 | $6,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 1,769 | $6,000 | thousands by filing date | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 90 | $6,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $6,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 2,707 | $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 | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 1,668 | $6,000 | thousands by filing date | |
| BIOCERES CROP SOLUTIONS CORP | G1117K114 | CMN | 632 | $6,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 619 | $6,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 3,225 | $6,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 1,500 | $6,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 500 | $6,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 1,700 | $6,000 | thousands by filing date | |
| TELUS INTL CDA INC | 87975H100 | SUB VTG SHS | 200 | $6,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 1,500 | $6,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,000 | $6,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,428 | $6,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 6,000 | $6,000 | thousands by filing date | principal |
| LIZHI INC | 53933L104 | ADS | 700 | $6,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 580 | $6,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 640 | $6,000 | thousands by filing date | |
| BTRS HOLDINGS INC | 11778X104 | COM CL 1 | 387 | $6,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 3,311 | $6,000 | thousands by filing date | |
| EBANG INTL HLDGS INC | G3R33A106 | CL A SHS | 806 | $6,000 | thousands by filing date | |
| CAPITOL INVESTMENT CORP V | 14064F100 | COM CL A | 600 | $6,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 7,067 | $6,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CO | G3166W106 | COM CL A | 400 | $6,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLDWT | G8251L113 | WARRANT AND RIGH | 2,200 | $6,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 948 | $6,000 | thousands by filing date | |
| NEXTGEN ACQUISITION CORP | G65305123 | *W EXP 10/06/202 | 3,333 | $6,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 68 | $5,000 | thousands by filing date | put |
| ACM RESH INC COM CL A | 00108J109 | Stock | 66 | $5,000 | thousands by filing date | |
| EHANG HLDGS LTD ADS | 26853E102 | ADR | 135 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 201 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 70 | $5,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q305 | COM STOCK | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 89 | $5,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q717 | LEADERSHS ACTIVI | 134 | $5,000 | thousands by filing date | |
| iShares Cybersecurity and Tech ETF | 46435U135 | CYBERSECURITY | 125 | $5,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 929 | $5,000 | thousands by filing date | |
| IDEAL PWR INC | 451622203 | COM NEW | 431 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 144 | $5,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 400 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 243 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 150 | $5,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 341 | $5,000 | thousands by filing date | |
| VIZIO HOLDING CORP | 92858V101 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 4,006 | $5,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,594 | $5,000 | 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 |