13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 7,701 holding rows worth $455,078,779,000.
- Accession
- 0000072971-21-000339
- Filer
- CIK 72971
- Filed
- 2021-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 21,907 entries on the cover page, a total value of $455,078,779,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $455,078,779,000 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 managerAllspring Global Investments LLC028-04413
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of 361 CAPITAL LLC
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of SEI INVESTMENTS CO
- included managerWELLS CAPITAL MANAGEMENT INC reporting on behalf of UBS ASSET MANAGEMENT AMERICAS INC
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Management, LLC reporting on behalf of Citigroup, Inc
- included managerAllspring Funds Management, LLC028-11406
- included managerWells Fargo Funds Management, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO CLEARING SERVICES, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 6,545 | $75,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 30,185 | $75,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 850 | $75,000 | thousands by filing date | |
| 2U INC | 90214JAB7 | NOTE 2.250% 5/0 | 53,000 | $75,000 | thousands by filing date | principal |
| CBRE ACQUISITION HLDGS INC | 12510J114 | *W EXP 99/99/999 | 45,600 | $75,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 888 | $74,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 20,067 | $74,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 4,844 | $74,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 31,536 | $74,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 1,262 | $73,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 1,737 | $73,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 11,396 | $73,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 4,499 | $73,000 | thousands by filing date | |
| IBERE PHARMACEUTICALS | G46843119 | *W EXP 03/01/202 | 122,354 | $73,000 | thousands by filing date | |
| LIBERTY MEDIA ACQUISITION CO | 53073L203 | UNIT 01/22/2026 | 7,030 | $73,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q105 | COM CL A | 7,100 | $73,000 | thousands by filing date | |
| US Ecology, Inc. | 91734M103 | COM | 2,235 | $72,000 | thousands by filing date | |
| KALEYRA INC | 483379103 | COMMON EQUITY | 6,500 | $72,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 8,050 | $72,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 48,036 | $72,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 4,175 | $71,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 11,425 | $71,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 1,105 | $71,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 17,887 | $71,000 | thousands by filing date | |
| REE AUTOMOTIVE LTD WT EXP 072226 | M8287R111 | Stock | 81,165 | $71,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 22,157 | $70,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 589 | $70,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,949 | $70,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G773 | WORK FROM HOME | 950 | $70,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 33,592 | $70,000 | thousands by filing date | |
| GEMINI THERAPEUTICS INC | 36870G105 | CMN | 17,404 | $70,000 | thousands by filing date | |
| SOTERA HEALTH CO | 83601L102 | COM | 2,654 | $69,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,429 | $69,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 1,996 | $69,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 9,570 | $69,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P110 | SHS NEW | 13,800 | $69,000 | thousands by filing date | |
| PROSHARES TR | 74347G705 | ULTRA ENERGY | 1,001 | $68,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 12,620 | $68,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 5,506 | $67,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 4,973 | $67,000 | thousands by filing date | |
| NEW YORK LIFE INVTS ACTIVE E | 45409F843 | MACK MU INSD ETF | 2,414 | $67,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 1,946 | $67,000 | thousands by filing date | |
| APPLOVIN CORP COM CL A | 03831W108 | Stock | 918 | $66,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 1,975 | $66,000 | thousands by filing date | |
| TPG PACE BEN FIN CORP | G8990D125 | CL A COM | 6,265 | $66,000 | thousands by filing date | |
| SPRUCE BIOSCIENCES INC | 85209E109 | COM | 10,919 | $66,000 | thousands by filing date | |
| BED BATH BEYOND INC | 075896900 | COM | 3,800 | $66,000 | thousands by filing date | call |
| MUSTANG BIO INC | 62818Q104 | COM | 24,500 | $66,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 950 | $65,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 58,000 | $65,000 | thousands by filing date | principal |
| AIRSPAN NETWORKS HOLDINGS IN | 00951K104 | COM | 9,768 | $65,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 2,503 | $64,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 2,469 | $64,000 | thousands by filing date | |
| SIGNIFY HEALTH INC | 82671G100 | COM | 3,586 | $64,000 | thousands by filing date | |
| CORE & MAIN INC CL A | 21874C102 | Stock | 2,437 | $63,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F201 | COM NEW | 2,603 | $63,000 | thousands by filing date | |
| HELLO GROUP INC | 423403954 | ADS | 6,000 | $63,000 | thousands by filing date | put |
| NATUZZI S P A | 63905A200 | SPON ADS | 3,849 | $63,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 6,084 | $62,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 5,113 | $62,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 2,355 | $61,000 | thousands by filing date | |
| AGILON HEALTH INC | 00857U107 | COM | 2,309 | $61,000 | thousands by filing date | |
| CARLOTZ INC | 142552108 | COMMON STOCK | 16,185 | $61,000 | thousands by filing date | |
| MIND MEDICINE (MINDMED) INC | 60255C109 | COMMON STOCK-FO | 26,193 | $61,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 18,683 | $60,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 10,109 | $60,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 1,198 | $60,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 12,193 | $59,000 | thousands by filing date | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838U108 | COM | 11,396 | $59,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO | 363576959 | COM | 400 | $59,000 | thousands by filing date | put |
| IRONNET INC | 46323Q105 | COM | 3,479 | $59,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 60,000 | $59,000 | thousands by filing date | principal |
| BOXLIGHT CORP | 103197109 | COM CL A | 26,256 | $59,000 | thousands by filing date | |
| JAKKS PAC INC | 47012E403 | COM NEW | 4,842 | $58,000 | thousands by filing date | |
| LISTED FD TR | 53656F623 | HORIZON KINETICS | 2,001 | $58,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 1,052 | $58,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 2,044 | $58,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 10,224 | $58,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 24,381 | $58,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 2,354 | $58,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 10,634 | $58,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,455 | $57,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 5,689 | $57,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 878 | $57,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 3,272 | $57,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 1,986 | $57,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 7,066 | $57,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 2,310 | $57,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,597 | $57,000 | thousands by filing date | |
| THE LION ELECTRIC COMPANY | 536221104 | COMMON STOCK | 4,450 | $57,000 | thousands by filing date | |
| POINT BIOPHARMA GLOBAL INC | 730541109 | COM | 7,447 | $57,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 3,075 | $57,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 37,802 | $57,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 4,279 | $57,000 | thousands by filing date | |
| LUMIRADX LTD | G5709L109 | SHS | 6,864 | $57,000 | thousands by filing date | |
| SEVEN OAKS ACQUISITION CORP | 81787X114 | *W EXP 12/22/202 | 72,500 | $57,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 57,000 | $57,000 | thousands by filing date | principal |
| STEVANATO GROUP S P A ORD SHS | T9224W109 | Stock | 2,228 | $56,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 2,163 | $56,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 3,179 | $56,000 | thousands by filing date | |
| INNOVATOR U.S. EQUITY BUFFER ETF - MAY | 45782C326 | ETF | 1,776 | $56,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 683 | $56,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,986 | $56,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 42,022 | $56,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 6,110 | $56,000 | thousands by filing date | |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 2,705 | $55,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 2,550 | $55,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 8,985 | $55,000 | thousands by filing date | |
| CF BANKSHARES INC | 12520L109 | COM | 2,684 | $55,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,217 | $55,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 3,082 | $55,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 5,528 | $55,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 25,200 | $55,000 | thousands by filing date | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 5,968 | $54,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 5,229 | $54,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,156 | $54,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 9,035 | $54,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 306 | $54,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 15,525 | $54,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 3,030 | $53,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 5,000 | $53,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K200 | COM | 2,490 | $53,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 114,164 | $52,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 7,280 | $52,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 1,317 | $52,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 11,697 | $52,000 | thousands by filing date | |
| PRIVETERRA ACQUISITION CORP | 74275N110 | WARR | 94,674 | $52,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 89904V101 | COM | 18,649 | $52,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 5,220 | $51,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 1,372 | $51,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 2,627 | $51,000 | thousands by filing date | |
| JD.COM INC | 47215P956 | PUT | 700 | $51,000 | thousands by filing date | put |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 3,136 | $51,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 4,589 | $51,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 7,516 | $51,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 1,838 | $51,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 31,725 | $51,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC | 89620X956 | PUT | 2,900 | $51,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,477 | $50,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,433 | $50,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2029 MUNICIPAL BOND ETF | 46138J478 | ETF | 1,912 | $50,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 1,460 | $50,000 | thousands by filing date | |
| SOUTHERN CO | 842587957 | COM | 800 | $50,000 | thousands by filing date | put |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 5,360 | $50,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 17,010 | $50,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 6,285 | $50,000 | thousands by filing date | |
| CARNEY TECHNOLOGY ACQU CORP | 143636116 | *W EXP 11/30/202 | 75,139 | $50,000 | thousands by filing date | |
| BOWLERO CORP | G4962C104 | EQUITY WRT | 36,181 | $50,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 652 | $49,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS | 00507W206 | COM | 5,510 | $49,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 1,808 | $49,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y955 | LITHIUM BTRY ETF | 600 | $49,000 | thousands by filing date | put |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 50,000 | $49,000 | thousands by filing date | principal |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 50,000 | $49,000 | thousands by filing date | principal |
| CHURCHILL CAPITAL CORP VII | 17144M201 | UNIT 99/99/9999 | 5,000 | $49,000 | thousands by filing date | |
| FIRST SOLAR INC | 336433957 | PUT | 500 | $48,000 | thousands by filing date | put |
| GRAPHITE BIO INC | 38870X104 | COM | 2,952 | $48,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 10,786 | $48,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 2,049 | $47,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,724 | $47,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 20,222 | $47,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L108 | CMN | 1,712 | $47,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 500 | $47,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 460 | $46,000 | thousands by filing date | |
| WEATHERFORD INTL PLC ORD SHS | G48833118 | Stock | 2,348 | $46,000 | thousands by filing date | |
| COMPASS INC | 20464U100 | CL A | 3,409 | $46,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 8,364 | $46,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 24,838 | $46,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 12,016 | $46,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 5,112 | $46,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 15,092 | $46,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 5,400 | $46,000 | thousands by filing date | |
| NRX PHARMACEUTICALS INC | 629444100 | COMMON | 5,000 | $46,000 | thousands by filing date | |
| Vanguard ESG U.S. Corporate Bond ETF | 921910691 | SHS | 605 | $45,000 | thousands by filing date | |
| VALARIS LTD | G9460G101 | CL A | 1,290 | $45,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 5,603 | $45,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 1,495 | $45,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 6,051 | $45,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 4,282 | $45,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 461 | $45,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 1,947 | $45,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 6,188 | $45,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 4,700 | $45,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 2,300 | $45,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 2,758 | $45,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 1,478 | $45,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 1,500 | $45,000 | thousands by filing date | |
| TEKKORP DIGITAL ACQUISITN CO | G8739H114 | *W EXP 10/26/202 | 50,000 | $45,000 | thousands by filing date | |
| AVEPOINT INC COM CL A | 053604104 | Stock | 5,203 | $44,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 6,546 | $44,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,602 | $44,000 | thousands by filing date | |
| SSR Mining Inc | 784730AB9 | Convertible bond | 39,000 | $44,000 | thousands by filing date | principal |
| AVANTAX INC | 095229100 | COMMON STOCK | 2,838 | $44,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 1,216 | $44,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 13,182 | $44,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 4,250 | $44,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 1,711 | $44,000 | thousands by filing date | |
| Concord Acquisition Corp | 206071110 | *W EXP 11/28/202 | 25,000 | $44,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 359 | $43,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 2,840 | $43,000 | thousands by filing date | |
| IRON MTN INC DEL | 46284V951 | PUT | 1,000 | $43,000 | thousands by filing date | put |
| 8X8 INC NEW | 282914AB6 | BOND | 39,000 | $43,000 | thousands by filing date | principal |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 17,415 | $43,000 | thousands by filing date | |
| MESA LABS INC | 59064RAA7 | NOTE 1.375% 8/1 | 35,000 | $43,000 | thousands by filing date | principal |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 1,638 | $43,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,706 | $42,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 5,946 | $42,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 3,378 | $42,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,195 | $42,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 13,139 | $42,000 | thousands by filing date | |
| FLUX PWR HLDGS INC | 344057302 | COM NEW | 8,332 | $42,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 56 | $42,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 6,098 | $42,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 6,726 | $41,000 | thousands by filing date | |
| ASTRA SPACE INC | 04634X103 | COM CL A | 4,615 | $41,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 3,787 | $41,000 | thousands by filing date | |
| BILIBILI INC | 090040AB2 | NOTE 1.375% 4/0 | 15,000 | $41,000 | thousands by filing date | principal |
| ACUTUS MED INC | 005111109 | COM | 4,653 | $41,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 15,410 | $41,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 35,922 | $41,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 2,510 | $41,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 30,342 | $41,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 2,453 | $40,000 | thousands by filing date | |
| AERSALE CORPORATION | 00810F106 | COM | 2,325 | $40,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 25,682 | $40,000 | thousands by filing date | |
| CHARGEPOINT HOLDINGS INC | 15961R955 | COM CL A | 2,000 | $40,000 | thousands by filing date | put |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 30,495 | $40,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCES INC | 004468500 | COMMON STOCK | 4,590 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 567 | $39,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,118 | $39,000 | thousands by filing date | |
| INNOVATE CORP | 45784J105 | COM | 9,362 | $39,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 1,472 | $39,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 1,111 | $39,000 | thousands by filing date | |
| WTS/BULL HORN HLDGS CORP EXP10/31/2025 | G1686P122 | COM | 152,454 | $39,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC | 89620X906 | CALL | 2,200 | $39,000 | thousands by filing date | call |
| KE HLDGS INC SPONSORED ADS | 482497104 | ADR | 2,071 | $38,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 207 | $38,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 710 | $38,000 | thousands by filing date | |
| KRISPY KREME INC | 50101L106 | COMMON STOCK | 2,715 | $38,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,445 | $38,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 4,674 | $38,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 36,930 | $38,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 6,095 | $38,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 6,566 | $38,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 3,200 | $37,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T209 | COM NEW | 4,110 | $37,000 | thousands by filing date | |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 1,501 | $37,000 | thousands by filing date | |
| UNIFIED SER TR | 90470L568 | ABSLUTE SELCT VL | 1,385 | $37,000 | thousands by filing date | |
| ALTRIA GROUP INC | 02209S953 | PUT | 815 | $37,000 | thousands by filing date | put |
| SCYNEXIS INC | 811292200 | COM NEW | 6,838 | $37,000 | thousands by filing date | |
| SOMALOGIC INC | 83444K105 | COM | 3,000 | $37,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,568 | $37,000 | thousands by filing date | |
| ESOTERICA THEMATIC TRUST | 296582109 | NEXTG ECONOMY | 656 | $37,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 3,592 | $36,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 12,461 | $36,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 23,993 | $36,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 2,341 | $36,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 1,703 | $36,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,367 | $36,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 1,712 | $36,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 2,500 | $36,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 943 | $36,000 | thousands by filing date | |
| SLAM CORP | G8210L121 | *W EXP 02/23/202 | 40,000 | $36,000 | thousands by filing date | |
| FORTE BIOSCIENCES INC | 34962G109 | COM | 12,486 | $36,000 | thousands by filing date | |
| GALECTO INC | 36322Q107 | COM | 10,159 | $36,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,025 | $36,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 21,370 | $36,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 40,000 | $36,000 | thousands by filing date | principal |
| KINGSOFT CLOUD HLDGS LTD ADS | 49639K101 | ADR | 1,235 | $35,000 | thousands by filing date | |
| WM TECHNOLOGY INC | 92971A109 | COM *D* | 2,471 | $35,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 2,022 | $35,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,400 | $35,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 806 | $35,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,588 | $35,000 | thousands by filing date | |
| STAR EQUITY HOLDINGS INC | 443787205 | COM NEW | 2,219 | $35,000 | thousands by filing date | |
| ONEOK INC NEW | 682680953 | COM | 600 | $35,000 | thousands by filing date | put |
| UPHEALTH INC 11.5000EXP07/01/2024 | 91532B119 | WARR | 76,100 | $35,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 6,387 | $35,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 13,555 | $35,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L706 | MERLYN AI BULL | 1,010 | $35,000 | thousands by filing date | |
| MUDRICK CAPITAL ACQU CORP II | 62477L115 | *W EXP 09/10/202 | 60,000 | $35,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 822 | $34,000 | thousands by filing date | |
| HUMACYTE INC | 44486Q103 | COM | 2,950 | $34,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 3,165 | $34,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 323 | $34,000 | thousands by filing date | |
| HYDROFARMS HLDGS GROUP INC | 44888K209 | COM | 899 | $34,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 733 | $34,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD | 23248VAB1 | NOTE 11/1 | 28,000 | $34,000 | thousands by filing date | principal |
| REDBALL ACQUISITION CORP | G7417R105 | COM CL A | 3,500 | $34,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 6,701 | $33,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 4,562 | $33,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 504 | $33,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 443 | $33,000 | thousands by filing date | |
| LIFEMD INC | 53216B104 | COM | 5,313 | $33,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q691 | LEASERSHS ALPHAF | 964 | $33,000 | thousands by filing date | |
| TALKSPACE INC | 87427V103 | COM | 9,069 | $33,000 | thousands by filing date | |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 1,273 | $33,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 8,497 | $33,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 1,531 | $33,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R108 | BBG COMMD K 1 | 1,101 | $33,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,026 | $33,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 10,597 | $33,000 | thousands by filing date | |
| MARKFORGED HOLDING CORPORATI | 57064N102 | COM | 5,105 | $33,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 10,000 | $33,000 | thousands by filing date | |
| BETTER WORLD ACQUISITION COR | 08772B112 | *W EXP 11/15/202 | 52,000 | $33,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 20,657 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 778 | $32,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 2,946 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 724 | $32,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 6,060 | $32,000 | thousands by filing date | |
| Greenpower Motor Co | 39540E302 | COM | 2,100 | $32,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 7,785 | $32,000 | thousands by filing date | |
| TREPONT ACQUISITION COR-CW26 | G9095M127 | *W EXP 11/24/202 | 50,000 | $32,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP | G0370L124 | UNIT 99/99/9999 | 3,000 | $32,000 | thousands by filing date | |
| Invesco BulletShares 2030 Corp Bd ETF | 46138J460 | SHS | 1,590 | $31,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 2,631 | $31,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 1,158 | $31,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 11,272 | $31,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 5,254 | $31,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 928 | $31,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 4,045 | $31,000 | thousands by filing date | |
| CARIBOU BIOSCIENCES INC COM | 142038108 | Stock | 1,302 | $31,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 1,621 | $31,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 15,705 | $31,000 | thousands by filing date | |
| NEW VISTA ACQUISITION CORP | G6529L121 | *W EXP 02/01/202 | 44,203 | $31,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 4,347 | $31,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 7,331 | $31,000 | thousands by filing date | |
| PRECIPIO INC | 74019L503 | COM | 11,139 | $31,000 | thousands by filing date | |
| CASCADE ACQUISITION CORP WT EXP 113027 | 147151112 | COM | 50,000 | $31,000 | thousands by filing date | |
| ISHARES TR | 46435U226 | IBONDS 21 TRM HG | 1,293 | $31,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 6,185 | $30,000 | thousands by filing date | |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 1,727 | $30,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 5,051 | $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 | |
| GENERAL MILLS INC | 370334954 | PUT | 500 | $30,000 | thousands by filing date | put |
| QIWI PLC | 74735M108 | SPON ADR REP B | 3,572 | $30,000 | thousands by filing date | |
| VECTIVBIO HLDG AG | H9060V101 | COM | 3,904 | $30,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 2,749 | $30,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 3,950 | $30,000 | thousands by filing date | |
| Zivo Bioscience Inc | 98978N200 | COM | 6,730 | $30,000 | thousands by filing date | |
| CM LIFE SCIENCES III INC | 125841205 | UNIT 04/30/2028 | 2,846 | $30,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 5,000 | $29,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 709 | $29,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 4,501 | $29,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 2,213 | $29,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 7,149 | $29,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 1,393 | $29,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 922 | $29,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 1,076 | $29,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 2,504 | $29,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 28,000 | $29,000 | thousands by filing date | principal |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 6,994 | $29,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 29,000 | $29,000 | thousands by filing date | principal |
| BIOMERICA INC | 09061H307 | COM NEW | 6,563 | $29,000 | thousands by filing date | |
| GIGCAPITAL 5 INC | 37519U208 | UNIT 99/99/9999 | 2,800 | $29,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 766 | $28,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 2,188 | $28,000 | thousands by filing date | |
| ARCHER AVIATION INC | 03945R102 | COM CL A | 3,078 | $28,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 802 | $28,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q774 | LDRSHS ALPFACT | 867 | $28,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 1,024 | $28,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J445 | INVSC 30 MUNI BD | 1,110 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,039 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y194 | ADAPTIVE US RISK | 1,000 | $28,000 | thousands by filing date | |
| BARK Inc. | 68622E104 | COM | 4,185 | $28,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932957 | COM | 800 | $28,000 | thousands by filing date | put |
| PRAXIS PRECISION MEDICINES I | 74006W108 | COM | 1,528 | $28,000 | thousands by filing date | |
| ISHARES TR | 46435U333 | FOCUSD VAL FAC | 518 | $28,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,263 | $28,000 | thousands by filing date | |
| SEMA4 HOLDINGS CORP | 81663L101 | COM | 3,698 | $28,000 | thousands by filing date | |
| ARCTOS NORTHSTAR ACQUIS CORP | G0477L126 | *W EXP 99/99/999 | 37,350 | $28,000 | thousands by filing date | |
| VOLTA INC | 92873V902 | CALL | 3,200 | $28,000 | thousands by filing date | call |
| MARKETWISE INC | 57064P115 | *W EXP 07/19/202 | 25,090 | $28,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 2,350 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 147 | $27,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 395 | $27,000 | thousands by filing date | |
| COMPASS PATHWAYS PLC | 20451W951 | SPONSORED ADS | 900 | $27,000 | thousands by filing date | put |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 5,351 | $27,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 7,700 | $27,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 786 | $27,000 | thousands by filing date | |
| BREEZE HOLDINGS ACQUISITN CO | 106762115 | *W EXP 05/25/202 | 50,996 | $27,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 13,203 | $27,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 11,442 | $26,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 3,316 | $26,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 548 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 541 | $26,000 | thousands by filing date | |
| RESERVOIR MEDIA INC | 76119X105 | COMMON STOCK | 2,784 | $26,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 8,882 | $26,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 1,325 | $26,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 1,924 | $26,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 6,520 | $26,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 1,071 | $26,000 | thousands by filing date | |
| JAWS MUSTANG ACQUISITION CORP SHS CL A | G50737108 | Stock | 2,684 | $26,000 | thousands by filing date | |
| HEALTH ASSURANCE ACQUIS- | 42226W109 | COM CL A | 2,700 | $26,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 3,254 | $26,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 12,483 | $26,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 426 | $26,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 19,685 | $26,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U404 | CMN | 1,200 | $26,000 | thousands by filing date | |
| LONGVIEW ACQUISITION CORP II | 54319Q113 | *W EXP 99/99/999 | 20,000 | $26,000 | thousands by filing date | |
| COURSERA INC COM | 22266M104 | Stock | 804 | $25,000 | thousands by filing date | |
| COHEN & STEERS TAX ADVAN PFD | 19249X108 | COM | 1,000 | $25,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 2,842 | $25,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,428 | $25,000 | thousands by filing date | |
| ARKO CORP | 041242108 | COMMON STOCK | 2,511 | $25,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 4,676 | $25,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 851 | $25,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 2,011 | $25,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 1,222 | $25,000 | thousands by filing date | |
| ONTRAK INC | 683373104 | COM | 2,490 | $25,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 2,176 | $25,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 2,125 | $25,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 2,037 | $25,000 | thousands by filing date | |
| AMERICAN VRTUAL CLOUD TECH I | 030382105 | COM | 8,825 | $25,000 | thousands by filing date | |
| SPORTS VENTURES ACQUISIN COR | G8372A129 | WTS | 41,540 | $25,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 2,117 | $24,000 | thousands by filing date | |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 1,381 | $24,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 2,391 | $24,000 | thousands by filing date | |
| SIREN ETF TR | 829658202 | NEXGEN ECONOMY | 545 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 521 | $24,000 | thousands by filing date | |
| IDEAL PWR INC | 451622203 | COM NEW | 1,533 | $24,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 7,591 | $24,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908959 | TOTAL STK MKT | 100 | $24,000 | thousands by filing date | put |
| ZOVIO INC | 98979V102 | COMMON STOCK | 10,180 | $24,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 16,267 | $24,000 | thousands by filing date | |
| PRIME IMPACT ACQUISITION I | G61074129 | *W EXP 10/01/203 | 34,927 | $24,000 | thousands by filing date | |
| ARCTOS NORTHSTAR ACQUIS CORP | G0477L118 | UNIT 99/99/9999 | 2,430 | $24,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L207 | COMMON | 1,552 | $24,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,586 | $24,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 9,933 | $24,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP | G23726105 | COM CL A | 2,464 | $24,000 | thousands by filing date | |
| TOASTINCCLASSCLASSA | 888787108 | STOK | 451 | $23,000 | thousands by filing date | |
| HIMS & HERS HEALTH INC | 433000106 | COM CL A | 2,953 | $23,000 | thousands by filing date | |
| ABSCI CORPORATION | 00091E109 | COM | 1,964 | $23,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 4,467 | $23,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 2,173 | $23,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,055 | $23,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,813 | $23,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 5,075 | $23,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 4,222 | $23,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 5,074 | $23,000 | thousands by filing date | |
| PERFORMANCE FOOD GROUP CO | 71377A903 | COM | 500 | $23,000 | thousands by filing date | call |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 5,611 | $23,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 3,863 | $23,000 | thousands by filing date | |
| XWELL INC COM NEW | 98420U703 | Stock | 15,649 | $23,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,457 | $23,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,525 | $23,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 7,654 | $23,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 2,123 | $23,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L105 | SHS CL A | 2,300 | $23,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 766 | $23,000 | thousands by filing date | |
| BOWX ACQUISITION CORP | 103085106 | CL A | 2,250 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 593 | $23,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 693 | $22,000 | thousands by filing date | |
| KANZHUN LIMITED | 48553T106 | SPONSORED ADS | 616 | $22,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 4,086 | $22,000 | thousands by filing date | |
| CUREVAC N V | N2451R105 | COM | 402 | $22,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 11,000 | $22,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 724 | $22,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $22,000 | thousands by filing date | |
| KULR TECHNOLOGY GROUP INC | 50125G109 | COM | 10,323 | $22,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 943 | $22,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 10,793 | $22,000 | thousands by filing date | |
| EQONEX LIMITED | Y2074E109 | SHS | 6,700 | $22,000 | thousands by filing date | |
| SOFI TECHNOLOGIES INC | 83406F110 | *W EXP 05/28/202 | 3,500 | $22,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 22,000 | $22,000 | thousands by filing date | principal |
| ANGEL OAK FINL STRATEGIES IN | 03464A118 | RIGHT 10/14/2021 | 102,948 | $22,000 | thousands by filing date | |
| ZETA GLOBAL HOLDINGS CORP CL A | 98956A105 | Stock | 3,545 | $21,000 | thousands by filing date | |
| KARAT PACKAGING INC | 48563L101 | COM | 1,000 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 502 | $21,000 | thousands by filing date | |
| OLEMA PHARMACEUTICALS INC | 68062P106 | COM | 755 | $21,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072307 | US QUALITY GROW | 301 | $21,000 | thousands by filing date | |
| NVIDIA CORPORATION | 67066G954 | PUT | 100 | $21,000 | thousands by filing date | put |
| EQUINOX GOLD CORP | 29446Y502 | COM | 3,182 | $21,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 500 | $21,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,020 | $21,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 2,816 | $21,000 | thousands by filing date | |
| STATE STR SPDR S&P MIDCAP 40 | 78467Y957 | UTSER1 S&PDCRP | 43 | $21,000 | thousands by filing date | put |
| PIXELWORKS INC | 72581M305 | COM NEW | 4,499 | $21,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 1,587 | $21,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 5,212 | $21,000 | thousands by filing date | |
| MYMD PHARMACEUTICALS INC | 62856X102 | COMMON | 2,956 | $21,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,424 | $21,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886TAJ1 | NOTE 1.750% 6/0 | 18,000 | $21,000 | thousands by filing date | principal |
| BBQ HLDGS INC | 05551A109 | CMN | 1,336 | $21,000 | thousands by filing date | |
| 908 DEVICES INC COM | 65443P102 | Stock | 609 | $20,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,980 | $20,000 | thousands by filing date | |
| ONTERRIS INC | 615111101 | COM | 327 | $20,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 2,980 | $20,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 801 | $20,000 | thousands by filing date | |
| 1Stdibs.Com Inc | 320551104 | COM | 1,649 | $20,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L877 | ROYCE QUANT SML | 540 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 375 | $20,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,599 | $20,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 4,151 | $20,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,973 | $20,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 6,724 | $20,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,222 | $20,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,600 | $20,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-21-000339 | this filing | 2021-11-15 | acceptance time not in the bulk data set |