13F-HR filed by BARCLAYS PLC
BARCLAYS PLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-09, with 4,791 holding rows worth $222,222,566,000.
- Accession
- 0000312069-21-000092
- Filer
- CIK 312069
- Filed
- 2021-11-09
- 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, 8,435 entries on the cover page, a total value of $222,222,566,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $222,222,566,000 with VALUE read as thousands by filing date, 13F file number 028-00826. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBARCLAYS BANK PLC028-00827
- included managerBARCLAYS CAPITAL INC.028-20253
- included managerBARCLAYS CAPITAL SECURITIES LTD028-07404
- included managerBarclays Bank (Suisse) SA028-13878
- included managerBarclays Capital Derivative Funding028-14600
- included managerBarclays Capital Luxembourg SaRL028-14040
- included managerSEC Upload
- included managerBarclays Investment Solutions Ltd028-13881
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 |
|---|---|---|---|---|---|---|
| CTI BIOPHARMA CORP | 12648L601 | COM | 26,108 | $77,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 3,480 | $76,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 32,600 | $76,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 4,269 | $76,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 5,559 | $76,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 2,131 | $76,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 4,608 | $76,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 10,300 | $75,000 | thousands by filing date | put |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 2,000 | $75,000 | thousands by filing date | call |
| FLUOR CORP | 343412102 | COM | 4,700 | $75,000 | thousands by filing date | put |
| OIL DRI CORP AMER COM | 677864100 | Stock | 2,131 | $74,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 81,513 | $74,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 679 | $73,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 8,194 | $73,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 7,200 | $73,000 | thousands by filing date | call |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 6,362 | $73,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 15,487 | $72,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 29,541 | $72,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 3,951 | $71,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 1,162 | $71,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 1,641 | $71,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 1,346 | $71,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 1,300 | $70,000 | thousands by filing date | put |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 5,800 | $70,000 | thousands by filing date | call |
| NOVOCURE LTD | G6674U108 | ORD SHS | 600 | $70,000 | thousands by filing date | put |
| SASOL LTD | 803866300 | SPONSORED ADR | 3,700 | $70,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 4,190 | $70,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 29,350 | $70,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 10,429 | $69,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 3,763 | $69,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 40,000 | $69,000 | thousands by filing date | |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 2,500 | $69,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 1,100 | $68,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 1,963 | $68,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 66,053 | $68,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 7,653 | $68,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 6,904 | $68,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 65,612 | $68,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 3,200 | $67,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 846 | $67,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 1,097 | $67,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,900 | $67,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 19,153 | $67,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 5,352 | $67,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 2,800 | $66,000 | thousands by filing date | put |
| PAMT CORP | 693149106 | COMMON STOCK | 1,485 | $66,000 | thousands by filing date | |
| ORLA MNG LTD NEW | 68634K106 | COM | 20,000 | $66,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 7,943 | $66,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 83,241 | $66,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 4,100 | $65,000 | thousands by filing date | call |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 379 | $64,000 | thousands by filing date | |
| RBB FD INC | 74933W601 | MOTLEY FOL ETF | 1,606 | $64,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 1,100 | $64,000 | thousands by filing date | put |
| LYFT INC | 55087P104 | CL A COM | 1,200 | $64,000 | thousands by filing date | call |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 3,174 | $64,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 2,336 | $64,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 3,731 | $64,000 | thousands by filing date | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 877 | $63,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 357 | $62,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 577 | $62,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 443 | $62,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 3,644 | $62,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 1,330 | $62,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 544 | $61,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 327 | $61,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 8,612 | $61,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 10,000 | $61,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 2,463 | $61,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 6,772 | $61,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 7,164 | $61,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 1,787 | $60,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 20,280 | $60,000 | thousands by filing date | |
| NEW YORK LIFE INVTS ACTIVE E | 45409F843 | MACK MU INSD ETF | 2,188 | $60,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 928 | $59,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 1,980 | $59,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 1,100 | $59,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 37,548 | $59,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 2,600 | $58,000 | thousands by filing date | call |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 800 | $58,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 10,387 | $58,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 3,814 | $58,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 2,584 | $57,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 2,500 | $56,000 | thousands by filing date | put |
| GENWORTH FINL INC | 37247D106 | COM SHS | 15,000 | $56,000 | thousands by filing date | call |
| GAMCO INVS INC COM | 361438104 | COM | 2,127 | $56,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 11,279 | $56,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 3,367 | $55,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 2,141 | $55,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 200 | $54,000 | thousands by filing date | call |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 7,637 | $54,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 2,600 | $53,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 6,182 | $53,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,300 | $53,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25459W540 | FUND | 2,000 | $53,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,571 | $52,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 2,402 | $52,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT HEALTHCARE MOMENTUM ETF | 46137V852 | ETF | 324 | $52,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 4,600 | $52,000 | thousands by filing date | call |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 9,899 | $52,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 3,150 | $52,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 2,131 | $52,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 2,212 | $52,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,502 | $51,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 2,722 | $51,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 4,747 | $51,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 16,614 | $51,000 | thousands by filing date | |
| KAIXIN AUTO HLDGS | G5223X100 | CMN | 18,367 | $51,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 1,100 | $50,000 | thousands by filing date | call |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 360 | $50,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 1,328 | $50,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 1,000 | $50,000 | thousands by filing date | call |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 1,061 | $50,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 3,845 | $50,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 3,400 | $49,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V639 | AI AND NEXT GEN | 341 | $49,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 37,217 | $49,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 5,412 | $49,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 8,700 | $49,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 6,500 | $49,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 618 | $48,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 7,068 | $48,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 1,100 | $48,000 | thousands by filing date | put |
| INNODATA INC | 457642205 | COM NEW | 5,028 | $48,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 20,000 | $48,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 3,847 | $48,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 9,753 | $48,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 336 | $47,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 3,445 | $47,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 56,675 | $47,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 1,300 | $46,000 | thousands by filing date | put |
| TFI INTERNATIONAL INC COM | 87241L109 | Stock | 437 | $45,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 450 | $45,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 500 | $45,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 1,486 | $45,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 1,985 | $44,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,992 | $44,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 3,100 | $44,000 | thousands by filing date | put |
| AQUA METALS INC | 03837J101 | COM | 21,228 | $44,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 2,000 | $43,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 3,712 | $43,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 3,790 | $43,000 | thousands by filing date | |
| INVESCO S&P 500 EQUAL WEIGHT ENERGY ETF | 46137V365 | ETF | 946 | $43,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 389 | $43,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 7,920 | $43,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 208 | $42,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 4,269 | $42,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 3,770 | $42,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 1,120 | $42,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 1,113 | $42,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 1,381 | $42,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 3,700 | $41,000 | thousands by filing date | put |
| JETBLUE AWYS CORP | 477143101 | COM | 2,700 | $41,000 | thousands by filing date | call |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 4,329 | $41,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 13,770 | $41,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 17,716 | $41,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 600 | $40,000 | thousands by filing date | call |
| ISHARES TR | 464287861 | EUROPE ETF | 773 | $40,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,806 | $40,000 | thousands by filing date | |
| ISHARES TR ETF GENOMICS IMMUNOLOGY & HEALTHCARE | 46435U192 | ETF | 798 | $40,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 27,300 | $40,000 | thousands by filing date | put |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 10,210 | $40,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 4,430 | $40,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 2,803 | $40,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 400 | $39,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 920 | $39,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 2,300 | $39,000 | thousands by filing date | put |
| ACNB CORP | 000868109 | COMMON STOCK | 1,399 | $39,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 3,038 | $39,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 8,700 | $39,000 | thousands by filing date | put |
| 3D PRINTING ETF | 00214Q500 | ETF | 1,080 | $39,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 7,069 | $39,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 35,000 | $39,000 | thousands by filing date | principal |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 17,991 | $39,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 1,141 | $39,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 10,191 | $38,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 456 | $38,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 465 | $38,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 3,665 | $38,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 1,300 | $38,000 | thousands by filing date | call |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 769 | $38,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 439 | $38,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 864 | $38,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 1,400 | $38,000 | thousands by filing date | call |
| LANTRONIX INC | 516548203 | COMMON STOCK | 6,586 | $38,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 10,797 | $38,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT INDUSTRIALS MOMENTUM ETF | 46137V845 | ETF | 383 | $38,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 2,332 | $38,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,747 | $38,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 15,781 | $38,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 2,901 | $38,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 140 | $37,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 806 | $37,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 7,995 | $37,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 7,194 | $37,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 386 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 329 | $37,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 10,466 | $37,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 3,174 | $37,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 23,909 | $37,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 23,574 | $37,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 23,128 | $37,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 100 | $36,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 1,800 | $36,000 | thousands by filing date | put |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,439 | $36,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 6,586 | $36,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 9,100 | $36,000 | thousands by filing date | call |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 1,896 | $36,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 1,305 | $36,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 14,992 | $36,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 785 | $35,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 580 | $35,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 963 | $35,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,545 | $35,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 1,100 | $35,000 | thousands by filing date | call |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 15,037 | $35,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,552 | $35,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 3,500 | $35,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 2,400 | $34,000 | thousands by filing date | put |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 1,300 | $34,000 | thousands by filing date | put |
| ISHARES TR | 464287564 | SELECT US REIT | 526 | $34,000 | thousands by filing date | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 1,462 | $34,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 2,334 | $34,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 4,347 | $34,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 3,283 | $34,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 5,217 | $34,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 822 | $34,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 12,500 | $34,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 4,753 | $34,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 6,389 | $34,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 46,858 | $34,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 500 | $33,000 | thousands by filing date | call |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 182 | $33,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 1,500 | $33,000 | thousands by filing date | call |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 3,432 | $33,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 5,984 | $33,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 1,542 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,157 | $33,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 32,197 | $33,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 2,155 | $33,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 4,713 | $33,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 3,300 | $33,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 27,021 | $33,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 104 | $32,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 2,100 | $32,000 | thousands by filing date | call |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 10,790 | $32,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 6,798 | $32,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 1,146 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 1,634 | $32,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,000 | $32,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 1,873 | $32,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 750 | $31,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 311 | $31,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 930 | $31,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 3,000 | $31,000 | thousands by filing date | put |
| SSR MINING IN | 784730103 | COM | 2,100 | $31,000 | thousands by filing date | call |
| COTY INC | 222070203 | COM CL A | 4,000 | $31,000 | thousands by filing date | put |
| VIRGINIA NATIONAL BANKSHARES | 928031103 | COMMON STOCK | 866 | $31,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 2,013 | $31,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 8,274 | $31,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 7,814 | $31,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,391 | $31,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 7,268 | $31,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 430 | $30,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 952 | $30,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 7,704 | $30,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 4,484 | $30,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 2,996 | $30,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 4,298 | $30,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 14,516 | $30,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,274 | $30,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 13,529 | $30,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 1,011 | $29,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,254 | $29,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 5,296 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 850 | $29,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 2,139 | $29,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,503 | $29,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 15,240 | $29,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 22,000 | $29,000 | thousands by filing date | principal |
| COMPUTER TASK GROUP INC | 205477102 | COM | 3,646 | $29,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 307 | $29,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 9,788 | $29,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 100 | $28,000 | thousands by filing date | call |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 4,260 | $28,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 973 | $28,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 8,218 | $28,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 2,632 | $28,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,314 | $28,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 617 | $28,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 1,821 | $28,000 | thousands by filing date | |
| AKUMIN INC | 01021F109 | COM | 11,485 | $28,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 26,665 | $28,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 3,444 | $28,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 777 | $28,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 268 | $27,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 275 | $27,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 951 | $27,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 1,500 | $27,000 | thousands by filing date | put |
| HANESBRANDS INC | 410345102 | COM | 1,600 | $27,000 | thousands by filing date | call |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 4,078 | $27,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 3,154 | $27,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 5,824 | $27,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 29,359 | $27,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 703 | $27,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 11,757 | $27,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 8,216 | $27,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 27,000 | $27,000 | thousands by filing date | principal |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 248 | $26,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,897 | $26,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 168 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 573 | $26,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 436 | $26,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 398 | $26,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 499 | $26,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 2,273 | $26,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 13,578 | $26,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E842 | DORSEY WRGT SMLC | 300 | $26,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 5,124 | $26,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 819 | $26,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 2,700 | $26,000 | thousands by filing date | put |
| WILLIAMS INDUSTRIAL SERVICES | 96951A104 | COMMON STOCK | 6,086 | $26,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 13,489 | $26,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 2,032 | $26,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 9,730 | $26,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 8,374 | $26,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 25,279 | $26,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 21,103 | $26,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 24,075 | $26,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 152 | $25,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 2,000 | $25,000 | thousands by filing date | call |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 2,648 | $25,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 6,330 | $25,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 2,841 | $25,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 6,431 | $25,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 1,700 | $24,000 | thousands by filing date | call |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 743 | $24,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 1,500 | $24,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 2,128 | $24,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 700 | $24,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 19,087 | $24,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 9,038 | $24,000 | thousands by filing date | |
| FOCUS UNVL INC | 34417J104 | COM | 2,828 | $24,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 25,875 | $24,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 227 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 356 | $23,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 889 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 1,202 | $23,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 700 | $23,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 128 | $23,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 11,171 | $23,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAB2 | BOND | 18,000 | $23,000 | thousands by filing date | principal |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 304 | $22,000 | thousands by filing date | |
| MGC | 921910873 | COM | 147 | $22,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 964 | $22,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 412 | $22,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 6 | $22,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 3,790 | $22,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,926 | $22,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 997 | $22,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 1,279 | $22,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 816 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 260 | $22,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 985 | $22,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,765 | $22,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,901 | $22,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 29,871 | $22,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 1,300 | $21,000 | thousands by filing date | call |
| AUDIOEYE INC | 050734201 | COM NEW | 1,917 | $21,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 715 | $21,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 216 | $21,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 3,400 | $21,000 | thousands by filing date | call |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 217 | $21,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 2,300 | $21,000 | thousands by filing date | put |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 1,084 | $21,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 659 | $21,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 396 | $21,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 457 | $21,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 1,819 | $21,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 858 | $21,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 2,886 | $21,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 1,000 | $21,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 5,989 | $21,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 8,602 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 2,326 | $21,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 2,762 | $21,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 9,776 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 383 | $20,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 203 | $20,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 314 | $20,000 | thousands by filing date | |
| AMERICAN RES CORP | 02927U208 | CL A | 10,400 | $20,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 641 | $20,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 3,422 | $20,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 689 | $20,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E869 | DAILY 500 1X ETF | 1,300 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 313 | $20,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 801 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 240 | $20,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 9,670 | $20,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 3,020 | $20,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 7,952 | $20,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 658 | $20,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 19,000 | $20,000 | thousands by filing date | principal |
| EXELIXIS INC COM | 30161Q104 | Stock | 900 | $19,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 360 | $19,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 1,047 | $19,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 2,134 | $19,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 4,616 | $19,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 799 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 336 | $19,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 2,320 | $19,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,270 | $19,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 1,587 | $19,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 4,069 | $19,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 11,599 | $19,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BEAR 2X SHARES | 25460E554 | ETF | 1,389 | $19,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 600 | $18,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 3,747 | $18,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 636 | $18,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 362 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 708 | $18,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 136 | $18,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 5,866 | $18,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 5,999 | $18,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 1,300 | $17,000 | thousands by filing date | call |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 309 | $17,000 | thousands by filing date | |
| DESIGNER BRANDS INC | 250565108 | CL A | 1,200 | $17,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 143 | $17,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 729 | $17,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 522 | $17,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,746 | $17,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 699 | $17,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 5,590 | $17,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 10,999 | $17,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 5,559 | $17,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 237 | $16,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 264 | $16,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 94 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 200 | $16,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 586 | $16,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 1,520 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 325 | $16,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 3,867 | $16,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 1,998 | $16,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 4,000 | $16,000 | thousands by filing date | principal |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 483 | $15,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 100 | $15,000 | thousands by filing date | call |
| ISHARES TR | 464287754 | US INDUSTRIALS | 142 | $15,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 2,363 | $15,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 239 | $15,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 93 | $15,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,245 | $15,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 403 | $15,000 | thousands by filing date | |
| MAXCYTE INC | 57777K106 | COM | 1,219 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 679 | $15,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 890 | $15,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 839 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 264 | $15,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 981 | $15,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 3,058 | $15,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 14,520 | $15,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 802 | $15,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 390 | $14,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 2,113 | $14,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 100 | $14,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 2,500 | $14,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V100 | AEROSPACE DEFN | 195 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 336 | $14,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 400 | $14,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 847 | $14,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 286 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,415 | $14,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 7,231 | $14,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 4,267 | $14,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 10,289 | $14,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 1,466 | $14,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 3,000 | $14,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 6,969 | $14,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 300 | $13,000 | thousands by filing date | put |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 391 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 413 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 301 | $13,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 7,095 | $13,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 2,430 | $13,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 839 | $13,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 2,118 | $13,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 3,410 | $13,000 | thousands by filing date | |
| LUOKUNG TECHNOLOGY CORP | G56981106 | SHS | 11,393 | $13,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 726 | $13,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 300 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 218 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 72 | $12,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 298 | $12,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 4,276 | $12,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,100 | $12,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 5,249 | $12,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 9,757 | $12,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 819 | $12,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 107 | $11,000 | thousands by filing date | |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 142 | $11,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 109 | $11,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312069-21-000092 | this filing | 2021-11-09 | acceptance time not in the bulk data set |