13F-HR filed by COMMONWEALTH EQUITY SERVICES, LLC
COMMONWEALTH EQUITY SERVICES, LLC filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-04, with 3,396 holding rows worth $35,350,742,000.
- Accession
- 0000312272-21-000009
- Filer
- CIK 312272
- Filed
- 2021-05-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 3,396 entries on the cover page, a total value of $35,350,742,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $35,349,048,000 with VALUE read as thousands by filing date, 13F file number 028-18352. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 13,726 | $233,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 46,839 | $232,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 6,774 | $232,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2027 CORPORATE BOND ETF | 46138J783 | ETF | 10,772 | $232,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 3,149 | $231,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 7,120 | $231,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 14,856 | $231,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 56,204 | $231,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 1,633 | $230,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 1,026 | $230,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 2,879 | $230,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 5,251 | $230,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 4,971 | $229,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 27,276 | $229,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 7,207 | $229,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 19,345 | $228,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 37,156 | $228,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922B204 | DEFIANCE NXT GN | 8,655 | $228,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 2,991 | $227,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 18,223 | $227,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740U406 | FT VEST U.S. | 7,282 | $227,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Corporate Bond ETF | 46435UAA9 | ETF | 8,518 | $227,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 16,110 | $227,000 | thousands by filing date | |
| NORTHERN LIGHTS FD TR | 66538J720 | TOEWS AGILTY SHS | 7,775 | $227,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 3,229 | $226,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 3,969 | $226,000 | thousands by filing date | |
| CIMPRESS PLC | G2143T103 | SHS EURO | 2,257 | $226,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 4,821 | $226,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 6,537 | $226,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 4,787 | $226,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 9,696 | $226,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 39,476 | $225,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 4,546 | $225,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 18,750 | $225,000 | thousands by filing date | |
| LI AUTO INC SPONSORED ADS | 50202M102 | ADR | 8,977 | $224,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 8,442 | $224,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 1,785 | $224,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072505 | DIVERSIFIED MU | 4,114 | $224,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 18,651 | $223,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 10,918 | $223,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 2,658 | $223,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 2,777 | $223,000 | thousands by filing date | |
| ARK ETF TR | 00214Q807 | SPACE & DEFENSE | 10,861 | $223,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E123 | S&P SMLCP INDL | 2,379 | $223,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 6,519 | $223,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F101 | COM | 19,633 | $223,000 | thousands by filing date | |
| Invesco S&P 500 Momentum ETF | 46138E339 | SHS | 4,199 | $222,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 3,614 | $222,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 1,691 | $222,000 | thousands by filing date | |
| ARRAY TECHNOLOGIES, INC. | 04271T100 | COM SHS | 7,448 | $222,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 23,327 | $222,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 24,253 | $222,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 7,010 | $221,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 36,294 | $221,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 3,465 | $220,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 3,259 | $219,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 16,224 | $219,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 4,564 | $219,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 10,441 | $219,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 19,504 | $218,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 3,188 | $218,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 11,920 | $218,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 474 | $217,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 13,562 | $217,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 6,808 | $216,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 6,540 | $216,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 6,030 | $216,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 22,474 | $216,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 15,035 | $215,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 20,775 | $215,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 17,246 | $215,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 4,642 | $215,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 3,704 | $215,000 | thousands by filing date | |
| METROMILE INC | 591697107 | COM | 20,980 | $215,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 5,201 | $214,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 3,165 | $214,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 36,189 | $214,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 2,128 | $214,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 2,537 | $213,000 | thousands by filing date | |
| SFL CORP LTD | G7738W106 | COMMON STOCK | 26,627 | $213,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 2,830 | $212,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 4,334 | $212,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 23,714 | $212,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 7,425 | $212,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 5,554 | $212,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 16,140 | $212,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 3,528 | $211,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 14,204 | $209,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 4,426 | $209,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 27,775 | $209,000 | thousands by filing date | |
| LISTED FDS TR | 53656F706 | ROUNDHILL VIDEO | 6,566 | $209,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 4,379 | $208,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 3,760 | $208,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 6,519 | $207,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 8,077 | $207,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 14,076 | $207,000 | thousands by filing date | |
| WILLSCOT HLDGS CORP | 971378104 | COM CL A | 7,457 | $206,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 8,810 | $206,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 3,287 | $205,000 | thousands by filing date | |
| JFROG LTD ORD SHS | M6191J100 | Stock | 4,630 | $205,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 7,499 | $205,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 12,724 | $205,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F137 | SHS | 2,204 | $205,000 | thousands by filing date | |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 9,358 | $205,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 12,213 | $205,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 44,374 | $205,000 | thousands by filing date | |
| FIRSTCASH HOLDINGS INC. | 33767D105 | Common Stock | 3,127 | $205,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 22,683 | $204,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 6,489 | $204,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 18,483 | $203,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 17,885 | $203,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 2,493 | $203,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 8,209 | $203,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 25,218 | $203,000 | thousands by filing date | |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 18,998 | $202,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 6,382 | $202,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 4,474 | $201,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 16,176 | $201,000 | thousands by filing date | |
| INSPIRE INTERNATIONAL ETF | 66538H419 | ETF | 6,142 | $200,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 882 | $200,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E727 | RAFI EMRGNG MRKT | 8,908 | $200,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 747 | $200,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 13,857 | $200,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 14,692 | $200,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 46,324 | $200,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 11,826 | $200,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 1,640 | $199,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 14,798 | $199,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 13,874 | $199,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 47,188 | $198,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 26,103 | $197,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 14,893 | $196,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 20,000 | $196,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 11,098 | $195,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 11,420 | $195,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 13,672 | $195,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 16,092 | $195,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 12,803 | $194,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 24,340 | $194,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 11,584 | $194,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 11,282 | $193,000 | thousands by filing date | |
| US GOLD CORP | 90291C201 | COMMON STOCK | 18,644 | $192,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 60,925 | $192,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 22,000 | $191,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 14,671 | $190,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 44,440 | $190,000 | thousands by filing date | |
| NORTHERN GENESIS ACQUISITION | 66516T104 | COMMON STOCK | 11,701 | $190,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 20,942 | $189,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 28,000 | $189,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 17,927 | $188,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 32,833 | $186,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 20,577 | $186,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 13,858 | $183,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 15,882 | $181,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S116 | CL A SHS | 17,457 | $181,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 13,376 | $180,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 10,370 | $178,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 17,312 | $178,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L105 | SHS CL A | 16,650 | $178,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 26,554 | $177,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 13,578 | $176,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 14,492 | $176,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 11,794 | $176,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 267,389 | $176,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 15,047 | $175,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 10,500 | $175,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 159,962 | $174,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 13,257 | $173,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 10,579 | $172,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 12,500 | $172,000 | thousands by filing date | |
| Rodgers Silicon Valley Acquisition Corp | 774873202 | Unit | 11,543 | $171,000 | thousands by filing date | |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 17,306 | $170,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 17,732 | $169,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 11,151 | $169,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 11,672 | $169,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 11,935 | $168,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 14,610 | $168,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 11,726 | $168,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 12,638 | $167,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 22,100 | $166,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 15,492 | $164,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 13,252 | $164,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 45,218 | $162,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 13,075 | $160,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 39,790 | $159,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 26,345 | $159,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 10,829 | $159,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 12,100 | $157,000 | thousands by filing date | |
| BGSF INC | 05601C105 | COM | 11,225 | $157,000 | thousands by filing date | |
| PAYSAFE LIMITED | G6964L115 | *W EXP 03/30/202 | 36,046 | $156,000 | thousands by filing date | |
| STAR EQUITY HOLDINGS INC | 85513Q103 | COMMON | 50,000 | $156,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 33,135 | $155,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 10,251 | $155,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 11,201 | $154,000 | thousands by filing date | |
| CONX CORP | 212873103 | WRNT | 15,500 | $154,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 14,292 | $154,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 23,537 | $152,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 10,893 | $151,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 10,255 | $151,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 11,361 | $151,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 21,122 | $150,000 | thousands by filing date | |
| ATLAS CREST INVT CORP | 049284102 | COM | 14,985 | $150,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 10,706 | $149,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 17,185 | $149,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 13,000 | $148,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 26,883 | $148,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 27,600 | $148,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 17,498 | $147,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 10,062 | $147,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 14,044 | $146,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 13,451 | $145,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 18,813 | $145,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 27,599 | $145,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 15,908 | $145,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 18,549 | $144,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 29,518 | $144,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 24,450 | $144,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 23,516 | $142,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 78,991 | $142,000 | thousands by filing date | |
| UPHEALTH INC | 375036100 | Common Stock | 14,159 | $142,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 14,341 | $141,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 88,793 | $140,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 14,605 | $138,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 40,000 | $137,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 23,116 | $134,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 11,798 | $134,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 43,199 | $132,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 17,936 | $132,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 10,000 | $130,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 11,105 | $129,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 66,901 | $128,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 16,247 | $127,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 18,678 | $127,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 18,242 | $126,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 11,105 | $126,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 40,245 | $125,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 10,442 | $124,000 | thousands by filing date | |
| VIRTUS CONVERTIBLE & INC 202 | 92838R105 | COM | 11,900 | $123,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 11,252 | $119,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 16,550 | $119,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 11,280 | $117,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 28,039 | $115,000 | thousands by filing date | |
| PROCESSA PHARMACEUTICALS INC COM NEW | 74275C205 | Stock | 10,550 | $115,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 15,917 | $114,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 34,497 | $114,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 29,700 | $114,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 48,325 | $113,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 75,272 | $113,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 15,707 | $112,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 11,144 | $110,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 10,417 | $109,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 11,923 | $108,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 11,994 | $108,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 24,099 | $107,000 | thousands by filing date | |
| Spire Global Inc Com Cl A New | 639358100 | COM | 10,500 | $105,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 11,330 | $104,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 24,714 | $104,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 23,765 | $103,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 20,262 | $103,000 | thousands by filing date | |
| JACK CREEK INVESTMENT CORP | G4989X107 | UNIT 10/01/2023 | 10,452 | $103,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 103,000 | $103,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 19,400 | $102,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 11,043 | $102,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 22,168 | $101,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,576 | $100,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 18,503 | $99,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 13,551 | $98,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 13,012 | $98,000 | thousands by filing date | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 30,081 | $97,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 17,352 | $96,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 59,260 | $96,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 11,145 | $95,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 88,000 | $95,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 92,000 | $94,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 46,500 | $93,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 18,620 | $92,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 13,761 | $91,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 14,715 | $91,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 13,404 | $91,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 20,780 | $90,000 | thousands by filing date | |
| CANOO INC | 13803R102 | COM CL A | 10,040 | $90,000 | thousands by filing date | |
| ALTO INGREDIENTS INC | 021513106 | COMMON STOCK | 16,516 | $89,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 36,050 | $89,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 22,106 | $89,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 50,354 | $88,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 13,166 | $88,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 19,299 | $88,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 30,053 | $88,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 12,170 | $88,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 11,423 | $86,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 10,433 | $85,000 | thousands by filing date | |
| SOC TELEMED | 78472F101 | COM | 13,580 | $85,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 28,263 | $84,000 | thousands by filing date | |
| UWM HOLDINGS CORPORATION COM CL A | 91823B109 | Stock | 10,632 | $84,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 72,602 | $84,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 14,169 | $83,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 18,317 | $82,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 48,258 | $82,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 16,488 | $79,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 11,265 | $79,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 12,308 | $77,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 10,172 | $77,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 68,920 | $77,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 50,300 | $77,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 54,201 | $76,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 12,660 | $76,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 12,201 | $76,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 14,423 | $72,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 16,984 | $71,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 13,901 | $69,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 21,745 | $69,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A168 | RIGHT 04/14/2021 | 628,215 | $69,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 16,897 | $68,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 10,679 | $67,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,290 | $66,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 31,383 | $66,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 18,513 | $66,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 12,981 | $65,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 37,198 | $65,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 48,100 | $64,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 12,785 | $59,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 35,044 | $59,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 13,476 | $58,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 42,463 | $57,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 14,375 | $56,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 20,705 | $56,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 19,578 | $55,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 28,086 | $54,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 21,558 | $54,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 34,000 | $53,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 22,050 | $53,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 24,480 | $52,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 19,121 | $52,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 22,870 | $51,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 11,056 | $50,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 10,498 | $49,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 12,840 | $49,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 35,103 | $49,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 13,099 | $48,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 37,537 | $48,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 16,019 | $47,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 16,038 | $47,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 12,100 | $46,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 45,000 | $45,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 13,523 | $44,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 39,784 | $43,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 21,955 | $43,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 18,360 | $42,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 58,625 | $40,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 10,994 | $40,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 18,195 | $38,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 36,500 | $38,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 10,637 | $38,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 16,400 | $37,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 22,945 | $36,000 | thousands by filing date | |
| GOLDMINING INC | 38149E101 | COM | 21,532 | $35,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 19,595 | $33,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 33,000 | $33,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 12,173 | $31,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 20,000 | $31,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 30,000 | $31,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 10,000 | $30,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 17,043 | $30,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 23,025 | $29,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 12,375 | $28,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 16,625 | $28,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 20,194 | $27,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 10,330 | $26,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 18,500 | $26,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 10,000 | $25,000 | thousands by filing date | |
| XWELL INC COM NEW | 98420U703 | Stock | 13,200 | $24,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 20,960 | $24,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 12,603 | $24,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 36,000 | $24,000 | thousands by filing date | |
| AENZA S.A.A | 00776D103 | SPONSORED ADS | 10,189 | $23,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 18,500 | $22,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 12,041 | $21,000 | thousands by filing date | |
| HEPION PHARMACEUTICALS INC | 426897104 | COM | 11,896 | $21,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 12,852 | $21,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 20,000 | $20,000 | thousands by filing date | |
| CASTOR MARITIME INC | Y1146L109 | SHS | 27,000 | $20,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 27,488 | $19,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 10,000 | $17,000 | thousands by filing date | |
| COLOR STAR TECHNOLOGY CO LTD | G2287A100 | SHS NEW | 10,000 | $17,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 24,552 | $15,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 11,000 | $15,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 11,500 | $15,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 11,350 | $13,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 23,345 | $12,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 10,221 | $12,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 12,901 | $12,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 10,000 | $11,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 11,000 | $10,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 18,500 | $10,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 10,000 | $9,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 10,143 | $9,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312272-21-000009 | this filing | 2021-05-04 | acceptance time not in the bulk data set |