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 |
|---|---|---|---|---|---|---|
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 13,845 | $20,000 | thousands by filing date | |
| EQUITY DISTR ACQUISITION COR | 29465E106 | CMN | 2,000 | $20,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 13,953 | $19,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q683 | LEADERSHS EQT | 512 | $19,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 825 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,061 | $19,000 | thousands by filing date | |
| AMERICAN CENTURY ETF TR QUALITY DIVERSIFIED INTL | 025072406 | ETF | 377 | $19,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,978 | $19,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,912 | $19,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 354 | $19,000 | thousands by filing date | |
| WESTWATER RES INC | 961684206 | COM NEW | 5,191 | $19,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 2,423 | $19,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 10,137 | $19,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 8,926 | $19,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 7,500 | $19,000 | thousands by filing date | |
| CAZOO GROUP LTD | G2007L105 | COM | 2,500 | $19,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 1,041 | $19,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 616 | $19,000 | thousands by filing date | |
| ACUITYADS HLDGS INC | 00510L106 | COM | 2,800 | $19,000 | thousands by filing date | |
| HYZON MOTORS INC | 44951Y102 | COM CL A | 2,545 | $18,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 1,586 | $18,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 694 | $18,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 1,331 | $18,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 9,668 | $18,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 2,212 | $18,000 | thousands by filing date | |
| LIVEVOX HOLDING INC | 53838L100 | COM | 2,751 | $18,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 6,330 | $18,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 473 | $18,000 | thousands by filing date | |
| AFRICAN GOLD ACQUISITION COR | G0112R124 | WTS | 37,500 | $18,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 655 | $17,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 377 | $17,000 | thousands by filing date | |
| TABOOLA.COM LTD | M8744T106 | ORD SHS | 2,000 | $17,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 347 | $17,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576101 | COMMON STOCK | 735 | $17,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 3,199 | $17,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 892 | $17,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 31,507 | $17,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,994 | $17,000 | thousands by filing date | |
| BGSF INC | 05601C105 | COM | 1,293 | $17,000 | thousands by filing date | |
| LAIRD SUPERFOOD INC | 50736T102 | CMN | 888 | $17,000 | thousands by filing date | |
| GENERATION BIO CO | 37148K100 | COM | 686 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 799 | $17,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,013 | $17,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 4,529 | $17,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 470 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 914 | $17,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 5,588 | $17,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,000 | $17,000 | thousands by filing date | |
| ALTAMIRA THERAPEUTICS LTD | G0360L100 | SHS | 8,435 | $17,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,204 | $16,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C656 | US EQTY PWR BUF | 534 | $16,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 864 | $16,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 2,665 | $16,000 | thousands by filing date | |
| NOBLE CORP NEW | G6610J209 | SHS | 612 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 114 | $16,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 3,000 | $16,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740U109 | SECUR PLUS ETF | 616 | $16,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 327 | $16,000 | thousands by filing date | |
| REPARE THERAPEUTICS INC | 760273102 | COM | 620 | $16,000 | thousands by filing date | |
| INTEGRAL AD SCIENCE HLDNG CO | 45828L108 | COM | 793 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 401 | $16,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V950 | PUT | 300 | $16,000 | thousands by filing date | put |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 4,197 | $16,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 15,504 | $16,000 | thousands by filing date | |
| ORIGIN MATERIALS INC | 68622D114 | *W EXP 06/25/202 | 10,000 | $16,000 | thousands by filing date | |
| INDUS REALTY TRUST INC | 45580R103 | TRUS | 230 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 588 | $16,000 | thousands by filing date | |
| FIRST WAVE BIOPHARMA INC | 33749P101 | CMN | 5,642 | $16,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 6,001 | $16,000 | thousands by filing date | |
| PALISADE BIO INC | 696389105 | COM | 6,290 | $16,000 | thousands by filing date | |
| RED CAT HLDGS INC | 75644T100 | COM | 4,157 | $15,000 | thousands by filing date | |
| CCC INTELLIGENT SOLUTIONS HLD COM | 12510Q100 | Stock | 1,364 | $15,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 516 | $15,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 788 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y392 | VDEO GAM ESPRT | 538 | $15,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 902 | $15,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 4,193 | $15,000 | thousands by filing date | |
| DUOS TECHNOLOGIES GROUP INC | 266042407 | COMMON STOCK | 2,519 | $15,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 3,085 | $15,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 2,571 | $15,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 1,000 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 461 | $15,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120202 | COM NEW | 1,588 | $15,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM | 06368B504 | CMN | 480 | $15,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E715 | ETC CABANA TARGT | 559 | $15,000 | thousands by filing date | |
| MELCO RESORTS AND ENTMNT LTD | 585464900 | ADR | 1,500 | $15,000 | thousands by filing date | call |
| GEO GROUP INC | 36162J956 | COM | 2,000 | $15,000 | thousands by filing date | put |
| VANGUARD SPECIALIZED FUNDS | 921908954 | PUT | 100 | $15,000 | thousands by filing date | put |
| CUE BIOPHARMA INC | 22978P106 | COM | 1,000 | $15,000 | thousands by filing date | |
| BLACKSKY TECHNOLOGY INC | 09263B108 | COM CL A | 1,464 | $15,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 7,478 | $15,000 | thousands by filing date | |
| CUE HEALTH INC | 229790100 | COM | 1,250 | $15,000 | thousands by filing date | |
| THE BEACHBODY COMPANY INC | 073463101 | COM | 2,747 | $15,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 7,031 | $15,000 | thousands by filing date | |
| VIVOPOWER INTERNATIO ORD | G9376R100 | COM | 2,627 | $15,000 | thousands by filing date | |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 222 | $14,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,705 | $14,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 298 | $14,000 | thousands by filing date | |
| PAYONEER GLOBAL INC COM | 70451X104 | Stock | 1,648 | $14,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 5,000 | $14,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 1,032 | $14,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 927 | $14,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 1,513 | $14,000 | thousands by filing date | |
| ADC THERAPEUTICS SA | H0036K147 | COMMON STOCK | 533 | $14,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 421 | $14,000 | thousands by filing date | |
| MYOMO INC | 62857J201 | COM NEW | 1,235 | $14,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,019 | $14,000 | thousands by filing date | |
| BIOCERES CROP SOLUTIONS CORP | G1117K114 | CMN | 1,062 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 502 | $14,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 846 | $14,000 | thousands by filing date | |
| BIODESIX INC | 09075X108 | COM | 1,660 | $14,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 554 | $14,000 | thousands by filing date | |
| SOHO HOUSE & CO INC | 586001109 | COM CL A | 1,185 | $14,000 | thousands by filing date | |
| PORTAGE BIOTECH INC | G7185A128 | COM | 710 | $14,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 2,350 | $14,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 30,000 | $14,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 627 | $14,000 | thousands by filing date | |
| COMSTOCK INC | 205750300 | COM NEW | 5,219 | $14,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908952 | PUT | 100 | $14,000 | thousands by filing date | put |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,000 | $14,000 | thousands by filing date | |
| CONVEY HEALTH SOLUTIONS HLDG | 21258C108 | CMN | 1,669 | $14,000 | thousands by filing date | |
| DATCHAT INC | 23816M107 | COM | 1,018 | $14,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP | G23726113 | *W EXP 08/28/202 | 15,000 | $14,000 | thousands by filing date | |
| MOTIVE CAPITAL CORP | G6293A111 | *W EXP 12/31/202 | 11,500 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 250 | $13,000 | thousands by filing date | |
| FREYR BATTERY | L4135L100 | SHS | 1,320 | $13,000 | thousands by filing date | |
| SQUARESPACE INC | 85225A107 | CLASS A | 321 | $13,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 6,336 | $13,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 641 | $13,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 1,400 | $13,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 1,708 | $13,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,066 | $13,000 | thousands by filing date | |
| EVERCOMMERCE INC | 29977X105 | COMMON STOCK | 791 | $13,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 469 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138J676 | BULLETSHS 2026 | 501 | $13,000 | thousands by filing date | |
| INNOVIZ TECHNOLOGIES LTD | M5R635108 | SHS | 2,100 | $13,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 499 | $13,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER APRIL | 45782C805 | ETF | 489 | $13,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 1,681 | $13,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,567 | $13,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 206 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 214 | $13,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y412 | RANGER EQUITY BE | 510 | $13,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 275 | $13,000 | thousands by filing date | |
| MERIDIANLINK INC | 58985J105 | COMMON STOCK | 598 | $13,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 13,000 | $13,000 | thousands by filing date | principal |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 13,000 | $13,000 | thousands by filing date | principal |
| GT BIOPHARMA INC | 36254L209 | COM NEW | 1,778 | $13,000 | thousands by filing date | |
| BERKSHIRE GREY INC | 084656107 | COM | 1,746 | $13,000 | thousands by filing date | |
| NATURA &CO HLDG S A | 63884N108 | ADR | 783 | $13,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 3,300 | $13,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514103 | SHS CL A | 1,300 | $13,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 1,590 | $13,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 4,230 | $13,000 | thousands by filing date | |
| CULLMAN BANCORP INC | 230153108 | COM | 1,017 | $13,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 13,981 | $13,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q954 | PUT | 5,000 | $13,000 | thousands by filing date | put |
| ADMA BIOLOGICS INC | 000899104 | COM | 10,851 | $12,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 1,196 | $12,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q717 | LEADERSHS ACTIVI | 319 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 587 | $12,000 | thousands by filing date | |
| CANDEL THERAPEUTICS INC | 137404109 | COMMON STOCK | 1,054 | $12,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 268 | $12,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 262 | $12,000 | thousands by filing date | |
| AEYE INC | 008183105 | COM | 2,200 | $12,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 547 | $12,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 7,000 | $12,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678507 | COM | 2,889 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 501 | $12,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 428 | $12,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP 2 | G0371B109 | CMN | 1,200 | $12,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 12,000 | $12,000 | thousands by filing date | principal |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 2,600 | $11,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C748 | US EQTY PWR BUF | 365 | $11,000 | thousands by filing date | |
| SANA BIOTECHNOLOGY INC | 799566104 | COM | 479 | $11,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 302 | $11,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 610 | $11,000 | thousands by filing date | |
| TPG MORTGAGE INVESTMENT TRUS | 001228501 | REIT | 988 | $11,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 887 | $11,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 422 | $11,000 | thousands by filing date | |
| TIM SA-ADR | 88706T108 | SPONSORED ADR | 1,013 | $11,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 477 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 368 | $11,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 1,505 | $11,000 | thousands by filing date | |
| LANTERN PHARMA INC | 51654W101 | COM | 953 | $11,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 838 | $11,000 | thousands by filing date | |
| PHENIXFIN CORP | 71742W103 | COM | 258 | $11,000 | thousands by filing date | |
| LATCH ORD | 51818V106 | COMMON STOCK | 954 | $11,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 588 | $11,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 3,001 | $11,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 151 | $11,000 | thousands by filing date | |
| CAMECO CORP | 13321L958 | PUT | 500 | $11,000 | thousands by filing date | put |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 15,000 | $11,000 | thousands by filing date | |
| FINANCE OF AMERICA COMPAN CL A NEW | 31738L107 | Stock | 2,300 | $11,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 559 | $11,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 1,595 | $11,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 5,000 | $11,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 26,921 | $11,000 | thousands by filing date | |
| Hippo Holdings, Inc. (HIPO) | 433539103 | Common Stocks | 2,264 | $11,000 | thousands by filing date | |
| DHB CAPITAL CORP | 23291W117 | *W EXP 03/31/202 | 16,667 | $11,000 | thousands by filing date | |
| MUDRICK CAPITAL ACQU CORP II | 62477L107 | COM CL A | 1,108 | $11,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 1,322 | $11,000 | thousands by filing date | |
| CASTOR MARITIME INC | Y1146L125 | COMMON | 4,400 | $11,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q957 | COM | 500 | $11,000 | thousands by filing date | put |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 314 | $11,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 12,000 | $11,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,997 | $10,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 1,974 | $10,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 538 | $10,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 1,139 | $10,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q106 | COMMON STOCK | 825 | $10,000 | thousands by filing date | |
| PACER FDS TR | 69374H642 | TRENDPILOT US BD | 380 | $10,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 225 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A511 | CMN | 288 | $10,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 820 | $10,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 400 | $10,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,183 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 406 | $10,000 | thousands by filing date | |
| WILLIAMS INDUSTRIAL SERVICES | 96951A104 | COMMON STOCK | 2,161 | $10,000 | thousands by filing date | |
| APOLLO STRATEGIC GROWTH CAPITAL | G0411R106 | COMMON STOCK-FO | 1,000 | $10,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 3,218 | $10,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 7,236 | $10,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 10,500 | $10,000 | thousands by filing date | principal |
| CODORUS VY BANCORP INC | 192025104 | COM | 453 | $10,000 | thousands by filing date | |
| GREENIDGE GENERATION HLDGS I | 39531G100 | COM | 405 | $10,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 3,948 | $10,000 | thousands by filing date | |
| ALSET EHOME INTERNATIONAL IN | 02116A104 | COM | 4,389 | $10,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 2,980 | $10,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V | 31810Q107 | COM CL A | 1,000 | $10,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 8,000 | $10,000 | thousands by filing date | principal |
| KINS TECHNOLOGY GROUP INC | 49714K208 | UNIT 10/14/2025 | 1,000 | $10,000 | thousands by filing date | |
| ALTITUDE ACQUISITION CORP | 02156Y202 | UNIT 11/30/2027 | 1,000 | $10,000 | thousands by filing date | |
| ISUN INC | 465246106 | COMMON | 1,233 | $10,000 | thousands by filing date | |
| ACE Convergence Acquisition Corp | G0083D120 | COM | 1,000 | $10,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 3,054 | $10,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 4,254 | $10,000 | thousands by filing date | |
| CLIMATE REAL IMPACT SLUTINS | 187171202 | UNIT 99/99/9999 | 1,000 | $10,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 3,673 | $10,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N304 | COM NEW | 1,041 | $10,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 7,544 | $10,000 | thousands by filing date | |
| PROGRESS ACQUISITION CORP | 74327P204 | UNIT 12/25/2025 | 965 | $10,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 253 | $9,000 | thousands by filing date | |
| DIMENSIONAL ETF TRUST | 25434V401 | US EQUI MARK ETF | 186 | $9,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 1,222 | $9,000 | thousands by filing date | |
| EVOLV TECHNOLOGIES HLDNGS IN | 30049H102 | COM CL A | 1,431 | $9,000 | thousands by filing date | |
| REMITLY GLOBAL INC | 75960P104 | COM | 250 | $9,000 | thousands by filing date | |
| ARCHAEA ENERGY INC | 03940F103 | COM CL A | 500 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 501 | $9,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 1,884 | $9,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 95 | $9,000 | thousands by filing date | |
| OPPFI INC | 68386H103 | COMMON STOCK | 1,083 | $9,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 624 | $9,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 2,081 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 101 | $9,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 446 | $9,000 | thousands by filing date | |
| SPACE EX TECH SPACEX CLASS A | 19423L672 | Equity | 330 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 199 | $9,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 233 | $9,000 | thousands by filing date | |
| Skillsoft Corp. | 83066P200 | Common | 700 | $9,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 283 | $9,000 | thousands by filing date | |
| ADVENT TECHNOLOGIES HOLDNG I | 00788A105 | COM CL A | 1,000 | $9,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDIN | 890260706 | COM | 14,287 | $9,000 | thousands by filing date | |
| ABCAM PLC | 000380204 | ADR USD | 449 | $9,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 2,043 | $9,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 3,113 | $9,000 | thousands by filing date | |
| BENSON HILL INC | 082490103 | COM | 1,260 | $9,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 1,861 | $9,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 214 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 1,122 | $9,000 | thousands by filing date | |
| G SQUARED ASCEND I INC | G4204R125 | UNIT 99/99/9999 | 900 | $9,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 6,000 | $9,000 | thousands by filing date | principal |
| Global X Cannabis ETF | 37954Y426 | EX TRD EQ FD | 1,000 | $9,000 | thousands by filing date | |
| GAUCHO GROUP HLDGS INC COM NEW | 36809R206 | Stock | 2,915 | $9,000 | thousands by filing date | |
| CARLOTZ INC | 142552116 | *W EXP 02/26/202 | 10,695 | $9,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 75 | $8,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 1,317 | $8,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 82 | $8,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 242 | $8,000 | thousands by filing date | |
| XPONENTIAL FITNESS INC A | 98422X101 | COMMON STOCK | 609 | $8,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 322 | $8,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 528 | $8,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 1,112 | $8,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 1,175 | $8,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 3,230 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R696 | CMN | 250 | $8,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 1,242 | $8,000 | thousands by filing date | |
| LANDSEA HOMES CORP | 51509P103 | COM | 917 | $8,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 514 | $8,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 1,606 | $8,000 | thousands by filing date | |
| LENDINGTREE INC | 52603BAD9 | NOTE 0.500% 7/1 | 11,000 | $8,000 | thousands by filing date | principal |
| AYRO INC | 054748108 | COM | 2,194 | $8,000 | thousands by filing date | |
| VARONIS SYS INC | 922280AB8 | BOND | 4,000 | $8,000 | thousands by filing date | principal |
| NEOGAMES S A | L6673X107 | COM | 209 | $8,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U113 | COM | 800 | $8,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 3,313 | $8,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 600 | $8,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 420 | $8,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 4,986 | $8,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 13,585 | $8,000 | thousands by filing date | |
| WIMI HOLOGRAM CLOUD INC | 97264L100 | SPON ADS CL B | 2,000 | $8,000 | thousands by filing date | |
| EARGO INC | 270087109 | COM | 1,225 | $8,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 2,895 | $8,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 2,642 | $8,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 2,211 | $8,000 | thousands by filing date | |
| VIVOS THERAPEUTICS INC | 92859E108 | COM | 2,109 | $8,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 226 | $8,000 | thousands by filing date | |
| NDACW US 31 Dec 27 C11.5 | 65413D113 | *W EXP 02/26/202 | 9,856 | $8,000 | thousands by filing date | |
| VAXCYTE INC COM | 92243G108 | Stock | 283 | $7,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 124 | $7,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 112 | $7,000 | thousands by filing date | |
| VIRIDIAN THERAPEUTICS INC | 92790C104 | COM | 412 | $7,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 279 | $7,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,070 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R655 | SP KENSHO CLEAN | 76 | $7,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $7,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,056 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 102 | $7,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,974 | $7,000 | thousands by filing date | |
| MCDONALDS CORP | 580135951 | PUT | 31 | $7,000 | thousands by filing date | put |
| Cango Inc/KY | 137586103 | ADS | 1,666 | $7,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 1,500 | $7,000 | thousands by filing date | principal |
| SUNWORKS INC | 86803X204 | COMMON STOCK | 1,167 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 225 | $7,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 914 | $7,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 916 | $7,000 | thousands by filing date | |
| DRAGONEER GROWTH OPPTY CORP | G28314105 | SHS CL A | 750 | $7,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 500 | $7,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 1,215 | $7,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,009 | $7,000 | thousands by filing date | |
| Renalytix PLC | 75973T101 | ADS | 350 | $7,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 9,000 | $7,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 3,690 | $7,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 7,850 | $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 |
| CELSION CORP | 15117N503 | COM PAR NEW | 8,031 | $7,000 | thousands by filing date | |
| ALTABANCORP | 021347109 | COM | 145 | $7,000 | thousands by filing date | |
| APPLIED UV INC | 03828V105 | COM | 1,021 | $7,000 | thousands by filing date | |
| RBB FD INC | 74933W601 | MOTLEY FOL ETF | 153 | $6,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 122 | $6,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 100 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 63 | $6,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 303 | $6,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 824 | $6,000 | thousands by filing date | |
| STRATEGY SHS | 86280R803 | DAY HAGAN SMART | 164 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 200 | $6,000 | thousands by filing date | |
| GENASYS INC | 36872P103 | CMN | 1,132 | $6,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 2,762 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 307 | $6,000 | thousands by filing date | |
| CRYO-CELL INTL INC | 228895108 | COM | 500 | $6,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 936 | $6,000 | thousands by filing date | |
| POWERSCHOOL HOLDINGS INC | 73939C106 | COMMON STOCK | 232 | $6,000 | thousands by filing date | |
| ROVER GROUP INC | 77936F103 | COM CL A | 462 | $6,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 500 | $6,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 663 | $6,000 | thousands by filing date | |
| EXPAND ENERGY CORPORATION | 165167180 | *W EXP 02/09/202 | 217 | $6,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 2,044 | $6,000 | thousands by filing date | |
| PASSAGE BIO INC | 702712100 | COM | 613 | $6,000 | thousands by filing date | |
| SNAP ONE HOLDINGS CORP | 83303Y105 | COM | 374 | $6,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760194 | COM | 4,000 | $6,000 | thousands by filing date | |
| CAREMAX INC | 14171W103 | COM | 512 | $6,000 | thousands by filing date | |
| BRIDGE INVT GROUP HLDGS INC | 10806B100 | COM | 315 | $6,000 | thousands by filing date | |
| CALLIDITAS THERAPEUTICS AB SPONSERED | 13124Q106 | ADS | 284 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 400 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E507 | CHINA ENRG ETF | 450 | $6,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 500 | $6,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 5,000 | $6,000 | thousands by filing date | principal |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 1,213 | $6,000 | thousands by filing date | |
| AKOUOS INC | 00973J101 | COM | 585 | $6,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 2,566 | $6,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 1,674 | $6,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 2,133 | $6,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 424 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 200 | $5,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,110 | $5,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 755 | $5,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 387 | $5,000 | thousands by filing date | |
| VERTEX INC | 92538J106 | CL A | 264 | $5,000 | thousands by filing date | |
| TANGO THERAPEUTICS INC | 87583X109 | COM | 391 | $5,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 3,502 | $5,000 | thousands by filing date | |
| REE AUTOMOTIVE LTD | M8287R103 | CLASS A ORD SHS | 1,000 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 82 | $5,000 | thousands by filing date | |
| iShares Cybersecurity and Tech ETF | 46435U135 | CYBERSECURITY | 125 | $5,000 | thousands by filing date | |
| PLAYSTUDIOS INC | 72815G108 | CLASS A COM | 1,198 | $5,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 878 | $5,000 | thousands by filing date | |
| INVIVYD INC | 00534A102 | COMMON STOCK | 108 | $5,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 1,053 | $5,000 | thousands by filing date | |
| GREENWICH LIFESCIENCES INC | 396879108 | COMMON STOCK | 125 | $5,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 1,865 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 101 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 144 | $5,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 323 | $5,000 | thousands by filing date | |
| Genedx Holdings Corp W Exp 07/22/202 | 81663L119 | SPAC Combination | 2,200 | $5,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 749 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 125 | $5,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO | 194162953 | PUT | 63 | $5,000 | thousands by filing date | put |
| ASANA INC | 04342Y954 | CL A | 1,300 | $5,000 | thousands by filing date | put |
| Community West Bancshares | 204157101 | Common Stock | 339 | $5,000 | thousands by filing date | |
| SVF INVESTMENT CORP | G8601L110 | COMMON STOCK-FO | 500 | $5,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 2,454 | $5,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 2,000 | $5,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 3,000 | $5,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 537 | $5,000 | thousands by filing date | |
| VISLINK TECHNOLOGIES INC | 92836Y300 | COM | 2,760 | $5,000 | thousands by filing date | |
| ATERIAN INC | 02156U101 | COM | 465 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P555 | FUND | 252 | $5,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 3,486 | $5,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 6,024 | $5,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,420 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 201 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 201 | $5,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 1,593 | $5,000 | thousands by filing date | |
| EPIPHANY TECHNOLOGY ACQUISIT | 29429X208 | UNIT 99/99/9999 | 450 | $5,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602605 | COM NEW | 216 | $5,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 1,330 | $5,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 277 | $5,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 7,085 | $5,000 | thousands by filing date | |
| HALL OF FAME RESORT & ENTMT | 40619L102 | COM | 2,000 | $5,000 | thousands by filing date | |
| BOA ACQUISITION CORP | 05601A117 | WTS | 8,333 | $5,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 4,111 | $5,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 151 | $5,000 | thousands by filing date | |
| GORES METROPOULOS II INC | 382873107 | CL A | 500 | $5,000 | thousands by filing date | |
| RIGETTI COMPUTIN | G8T86C121 | EQUITY WRT | 6,250 | $5,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 1,613 | $5,000 | thousands by filing date | |
| BROOKLINE CAP ACQUISITION CO | 11374E112 | *W EXP 08/31/202 | 8,206 | $5,000 | thousands by filing date | |
| FIRSTMARK HORIZON ACQUISITIO | 33765Y200 | UNIT 99/99/9999 | 500 | $5,000 | thousands by filing date | |
| IVANHOE CAPITAL ACQUISTIN CO | G4R87P122 | UNIT 99/99/9999 | 500 | $5,000 | thousands by filing date | |
| MARQUEE RAINE ACQUISITION CO | G58442107 | CMN | 483 | $5,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 4,000 | $5,000 | thousands by filing date | principal |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 56 | $4,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 286 | $4,000 | thousands by filing date | |
| PLIANT THERAPEUTICS INC | 729139105 | COM | 210 | $4,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 721 | $4,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 304 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 82 | $4,000 | thousands by filing date | |
| NAUTILUS BIOTECHNOLOGY INC | 63909J108 | COM | 612 | $4,000 | thousands by filing date | |
| AVEANNA HEALTHCARE HLDGS INC | 05356F105 | COM | 500 | $4,000 | thousands by filing date | |
| BNY MELLON ETF TRUST | 09661T107 | US LRG CP CORE | 50 | $4,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 155 | $4,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 499 | $4,000 | thousands by filing date | |
| BANK FIRST CORP | 06211J100 | COM | 64 | $4,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 519 | $4,000 | thousands by filing date | |
| COMPANHIA PARANAENSE DE ENERGI | 20441B605 | SPON ADS | 687 | $4,000 | thousands by filing date | |
| LIFESTANCE HEALTH GROUP INC | 53228F101 | COM | 342 | $4,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 219 | $4,000 | thousands by filing date | |
| LENSAR INC | 52634L108 | COM | 469 | $4,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 252 | $4,000 | thousands by filing date | |
| MONTAUK RENEWABLES INC | 61218C103 | COMMON STOCK | 383 | $4,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 779 | $4,000 | thousands by filing date | |
| BIT DIGITAL INC | G1144A105 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 626 | $4,000 | thousands by filing date | |
| SONIDA SENIOR LIVING INC | 140475203 | COMMON STOCK | 116 | $4,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 109 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 201 | $4,000 | thousands by filing date | |
| ISHARES TR | 46436E502 | US TECH BRKTHR | 104 | $4,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 127 | $4,000 | thousands by filing date | |
| NOUVEAU MONDE GRAPHITE INC | 66979W842 | COM NEW | 750 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y888 | CMN | 48 | $4,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,080 | $4,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 413 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 96 | $4,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 134 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 59 | $4,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 1,059 | $4,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 6,147 | $4,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 521 | $4,000 | thousands by filing date | |
| VERVE THERAPEUTICS INC | 92539P101 | COM | 79 | $4,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 1,271 | $4,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 162 | $4,000 | thousands by filing date | |
| AXE COMPUTE INC COM NEW | 74039M200 | Stock | 2,401 | $4,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,588 | $4,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 1,350 | $4,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 4,083 | $4,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 200 | $4,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,000 | $4,000 | thousands by filing date | |
| OFFERPAD SOLUTIONS INC | 67623L109 | COM | 500 | $4,000 | thousands by filing date | |
| MONEYLION INC | 60938K106 | COM | 700 | $4,000 | thousands by filing date | |
| INTRUSION INC COM NEW | 46121e205 | COM | 1,058 | $4,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 1,201 | $4,000 | thousands by filing date | |
| VERSUS SYSTEMS INC | 92535P808 | COM NEW | 955 | $4,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 2,100 | $4,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 4,246 | $4,000 | thousands by filing date | |
| IRONNET INC | 46323Q113 | *W EXP 08/26/202 | 800 | $4,000 | thousands by filing date | |
| PROSPECTOR CAPITAL CORP | G7273A121 | UNIT 01/01/2030 | 450 | $4,000 | thousands by filing date | |
| ATOTECH LTD | G0625A105 | COM | 181 | $4,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 615 | $4,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V409 | COM NEW | 2,268 | $4,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 6,307 | $4,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T266 | XLINK CRD ETN37 | 830 | $4,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP II | 92244F208 | UNIT 99/99/9999 | 430 | $4,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLDWT | G8251L113 | WARRANT AND RIGH | 2,200 | $4,000 | thousands by filing date | |
| iShares Future AI & Tech ETF | 46435U556 | SHS | 60 | $3,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 87 | $3,000 | thousands by filing date | |
| PHILLIPS EDISON & CO INC COMMON STOCK | 71844V201 | REIT | 95 | $3,000 | thousands by filing date | |
| PRECISION DRILLING CORP COM NEW | 74022D407 | Stock | 76 | $3,000 | thousands by filing date | |
| EHANG HLDGS LTD ADS | 26853E102 | ADR | 135 | $3,000 | thousands by filing date | |
| BYRNA TECHNOLOGIES INC | 12448X201 | COM NEW | 131 | $3,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 560 | $3,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 802 | $3,000 | thousands by filing date | |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 102 | $3,000 | 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 |