13F-HR filed by Rockefeller Capital Management L.P.
Rockefeller Capital Management L.P. filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-11, with 3,321 holding rows worth $14,777,779,000.
- Accession
- 0000315123-21-000007
- Filer
- CIK 1739439
- Filed
- 2021-05-11
- 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, 4,447 entries on the cover page, a total value of $14,777,779,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $14,777,779,000 with VALUE read as thousands by filing date, 13F file number 028-18743. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerROCKEFELLER & CO. LLC028-00926
- included managerROCKEFELLER TRUST COMPANY, N.A.028-02772
- included managerRockefeller Trust Co (Delaware)028-11086
- included managerROCKEFELLER FINANCIAL LLC028-19121
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 |
|---|---|---|---|---|---|---|
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 586 | $12,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 276 | $12,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 416 | $12,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 145 | $12,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 142 | $12,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 616 | $12,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 78 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 150 | $12,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 402 | $12,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 7 | $12,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 141 | $12,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 170 | $12,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 236 | $12,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 463 | $12,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 85 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 200 | $12,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 228 | $12,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 1,000 | $12,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 294 | $12,000 | thousands by filing date | |
| IAA INC | 449253103 | COM | 221 | $12,000 | thousands by filing date | |
| AMALGAMATED FINANCIAL CORP | 022671101 | COM | 775 | $12,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 1,100 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 374 | $12,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L602 | CMN | 300 | $12,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 601 | $12,000 | thousands by filing date | |
| VROOM INC | 92918V109 | COM | 325 | $12,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 553 | $12,000 | thousands by filing date | |
| RH | 74967XAA1 | BOND | 4,000 | $12,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 1,686 | $12,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D200 | COMMON | 2,969 | $12,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 270 | $11,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 255 | $11,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 96 | $11,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 245 | $11,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 71 | $11,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 145 | $11,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 384 | $11,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 160 | $11,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 715 | $11,000 | thousands by filing date | |
| AMERICOLD REALTY TRUST INC COM | 03064D108 | REIT | 290 | $11,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 329 | $11,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F771 | FT VEST US | 360 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 142 | $11,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 78 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 400 | $11,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 97 | $11,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 167 | $11,000 | thousands by filing date | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 794 | $11,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 839 | $11,000 | thousands by filing date | |
| CERIDIAN HCM HLDG INC | 15677J108 | COM | 135 | $11,000 | thousands by filing date | |
| CVR PARTNERS LP | 126633205 | COM | 290 | $11,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 825 | $11,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 624 | $11,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 5,000 | $11,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 1,235 | $11,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 327 | $11,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 188 | $11,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 487 | $11,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 200 | $11,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X804 | COMMON STOCK | 179 | $11,000 | thousands by filing date | |
| GLATFELTER CORP | 377320106 | COMMON STOCK | 642 | $11,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 855 | $11,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 9,000 | $11,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 1,600 | $11,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 10,000 | $11,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 11,000 | $11,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647X806 | VS NASDQ NXT 50 | 368 | $11,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 500 | $11,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 935 | $11,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 268 | $10,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 437 | $10,000 | thousands by filing date | |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 740 | $10,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 144 | $10,000 | thousands by filing date | |
| EYEPOINT INC COM NEW | 30233G209 | Stock | 1,000 | $10,000 | thousands by filing date | |
| NORTHWEST NAT HLDG CO COM | 66765N105 | Stock | 200 | $10,000 | thousands by filing date | |
| SIBANYE STILLWATER LTD SPONSORED ADR | 82575P107 | ADR | 614 | $10,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 500 | $10,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 87 | $10,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 58 | $10,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 916 | $10,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 1,069 | $10,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 409 | $10,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 80 | $10,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 300 | $10,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 267 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 238 | $10,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 92 | $10,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 1,100 | $10,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 48 | $10,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 242 | $10,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 168 | $10,000 | thousands by filing date | |
| WEBSTER FINL CORP | 947890109 | COM | 188 | $10,000 | thousands by filing date | |
| ICU MED INC | 44930G107 | COM | 53 | $10,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 1,130 | $10,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 280 | $10,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 732 | $10,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 578 | $10,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 882 | $10,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 776 | $10,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 415 | $10,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 239 | $10,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 895 | $10,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 74 | $10,000 | thousands by filing date | |
| SPIRE INC | 84857L101 | COM | 147 | $10,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 43 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33737K205 | INDXX NEXTG ETF | 150 | $10,000 | thousands by filing date | |
| TIM SA-ADR | 88706T108 | SPONSORED ADR | 886 | $10,000 | thousands by filing date | |
| GABELLI ETFS TRUST | 36261K103 | LOVE OUR PLANET | 393 | $10,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 719 | $10,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 90 | $10,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 250 | $10,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 1,000 | $10,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,000 | $10,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 3,000 | $10,000 | thousands by filing date | |
| PERIDOT ACQUISITION CORP | G7008A115 | SHS CL A | 1,000 | $10,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 1,654 | $10,000 | thousands by filing date | |
| CONMED CORP | 207410AF8 | BOND | 7,000 | $10,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 241 | $10,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 9,000 | $10,000 | thousands by filing date | |
| FOREST ROAD ACQUISITION CORP | 34619R102 | COM | 1,000 | $10,000 | thousands by filing date | |
| HUMANCO ACQUISITION CORP | 44487N208 | UNIT 12/08/2023 | 1,000 | $10,000 | thousands by filing date | |
| SUPERNOVA PARTNERS ACQUISITI | 86846V108 | COM CL A | 1,000 | $10,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 1,000 | $10,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 367 | $9,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 100 | $9,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 74 | $9,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 490 | $9,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 159 | $9,000 | thousands by filing date | |
| JFROG LTD ORD SHS | M6191J100 | Stock | 218 | $9,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 68 | $9,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 600 | $9,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 295 | $9,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 258 | $9,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 373 | $9,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 108 | $9,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 67 | $9,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 1,600 | $9,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 108 | $9,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 166 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 209 | $9,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 3,000 | $9,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 106 | $9,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 168 | $9,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940T109 | COM | 633 | $9,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 104 | $9,000 | thousands by filing date | |
| HEALTHCARE | 42225P501 | CL A NEW | 355 | $9,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 105 | $9,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 107 | $9,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 572 | $9,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 340 | $9,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 241 | $9,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 90 | $9,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 1,073 | $9,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 300 | $9,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 1,250 | $9,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 410 | $9,000 | thousands by filing date | |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 4,000 | $9,000 | thousands by filing date | |
| VANECK SOCIAL SENTIMENT ETF | 92189H839 | UIT EXCHANGE TRADED | 400 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R696 | CMN | 326 | $9,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 215 | $9,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 287 | $9,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 457 | $9,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 550 | $9,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 2,920 | $9,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 159 | $9,000 | thousands by filing date | |
| PACER FDS TR | 69374H691 | mc | 264 | $9,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 7,000 | $9,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 1,272 | $9,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 1,520 | $9,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 10,000 | $9,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 9,000 | $9,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 70 | $8,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 87 | $8,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 244 | $8,000 | thousands by filing date | |
| SHIFT4 PMTS INC CL A | 82452J109 | Stock | 105 | $8,000 | thousands by filing date | |
| KE HLDGS INC SPONSORED ADS | 482497104 | ADR | 148 | $8,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 124 | $8,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 135 | $8,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 119 | $8,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 241 | $8,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 150 | $8,000 | thousands by filing date | |
| CIMPRESS PLC | G2143T103 | SHS EURO | 89 | $8,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 308 | $8,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 185 | $8,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 321 | $8,000 | thousands by filing date | |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 48 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 283 | $8,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 229 | $8,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 181 | $8,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 188 | $8,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 1,500 | $8,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 802 | $8,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 180 | $8,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 152 | $8,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 437 | $8,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW NPV | 84860W300 | COM NEW | 206 | $8,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 342 | $8,000 | thousands by filing date | |
| SHOCKWAVE MED INC | 82489T104 | COM | 69 | $8,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 150 | $8,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 400 | $8,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 1,700 | $8,000 | thousands by filing date | |
| METHODE ELECTRONICS INC | 591520200 | COMMON STOCK | 212 | $8,000 | thousands by filing date | |
| UNITED FIRE GROUP INC | 910340108 | COMMON STOCK | 258 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 215 | $8,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 505 | $8,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 305 | $8,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 300 | $8,000 | thousands by filing date | |
| CARPARTS COM INC | 14427M107 | COM | 614 | $8,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 400 | $8,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 468 | $8,000 | thousands by filing date | |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 5,000 | $8,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 8,000 | $8,000 | thousands by filing date | |
| COUPA SOFTWARE INC | 22266LAC0 | NOTE 0.125% 6/1 | 5,000 | $8,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 4,000 | $8,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 560 | $8,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 400 | $8,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 387 | $8,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 140 | $8,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 4,000 | $8,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 291 | $8,000 | thousands by filing date | |
| DMY TECHNOLOGY GROUP INC III | 233278100 | COM CLASS A | 800 | $8,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 8,500 | $8,000 | thousands by filing date | |
| ATLAS CREST INVT CORP | 049284102 | COM | 850 | $8,000 | thousands by filing date | |
| VECTOR ACQUISITION CORP | G9442R126 | COM CL A | 750 | $8,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 176 | $7,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 185 | $7,000 | thousands by filing date | |
| COUSINSPPTYSINC | 222795502 | STOK | 223 | $7,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 500 | $7,000 | thousands by filing date | |
| JABIL INC COM | 466313103 | Stock | 140 | $7,000 | thousands by filing date | |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 413 | $7,000 | thousands by filing date | |
| TECHNIPFMC PLC COM | G87110105 | Stock | 1,066 | $7,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 36 | $7,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 139 | $7,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 88 | $7,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 161 | $7,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 300 | $7,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 20 | $7,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 90 | $7,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 281 | $7,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 181 | $7,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 269 | $7,000 | thousands by filing date | |
| FRONTDOOR INC COM | 35905A109 | Stock | 143 | $7,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 290 | $7,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 650 | $7,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 59 | $7,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 335 | $7,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 119 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 98 | $7,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 585 | $7,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 80 | $7,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 535 | $7,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 100 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 211 | $7,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 177 | $7,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 192 | $7,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 176 | $7,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 357 | $7,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 80 | $7,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 228 | $7,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 68 | $7,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 135 | $7,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 725 | $7,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 211 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 146 | $7,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 504 | $7,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 2,500 | $7,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 55 | $7,000 | thousands by filing date | |
| FEDERAL REALTY INVESTMENT TRUS | 313747206 | SH BEN INT NEW | 78 | $7,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 400 | $7,000 | thousands by filing date | |
| CANOO INC | 13803R102 | COM CL A | 850 | $7,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 2,100 | $7,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 550 | $7,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 404 | $7,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 231 | $7,000 | thousands by filing date | |
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| SELECT MED HLDGS CORP | 81619Q105 | COM | 232 | $7,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 468 | $7,000 | thousands by filing date | |
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| CIRCOR INTL INC | 17273K109 | COM | 202 | $7,000 | thousands by filing date | |
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| RADWARE LTD | M81873107 | COMMON STOCK | 284 | $7,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 800 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 127 | $7,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 2,000 | $7,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 1,295 | $7,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 100 | $7,000 | thousands by filing date | |
| HILLENBRAND INC | 431571108 | COM | 164 | $7,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 982 | $7,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 500 | $7,000 | thousands by filing date | |
| ETSY INC | 29786AAJ5 | NOTE 0.125%10/0 | 3,000 | $7,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 151 | $7,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 1,100 | $7,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 203 | $7,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 475 | $7,000 | thousands by filing date | |
| MULTIPLAN CORPORATION | 62548M100 | COM | 1,378 | $7,000 | thousands by filing date | |
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| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 500 | $7,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 242 | $7,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 128 | $7,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 150 | $7,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 359 | $7,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K862 | COM | 560 | $7,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142409 | COM | 315 | $7,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 4,000 | $7,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 770 | $7,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 356 | $7,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 2,000 | $7,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 283 | $7,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8252P113 | *W EXP 09/26/202 | 1,300 | $7,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 2,000 | $7,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 540 | $6,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 41 | $6,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 187 | $6,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 136 | $6,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 680 | $6,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 1,232 | $6,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 647 | $6,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 37 | $6,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 216 | $6,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 42 | $6,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 242 | $6,000 | thousands by filing date | |
| FOX CORP | 35137L204 | CL B COM | 185 | $6,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 108 | $6,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 835 | $6,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 73 | $6,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 504 | $6,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 61 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 252 | $6,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 139 | $6,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 56 | $6,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 228 | $6,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 27 | $6,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 322 | $6,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 441 | $6,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 241 | $6,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 97 | $6,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 76 | $6,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 500 | $6,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 256 | $6,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 200 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y293 | GLB X MLP ENRG I | 215 | $6,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 122 | $6,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 140 | $6,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 405 | $6,000 | thousands by filing date | |
| CHAMPIONX CORPORATION | 15872M104 | COM | 300 | $6,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 100 | $6,000 | thousands by filing date | |
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| VISTA OUTDOOR INC | 928377100 | COM | 200 | $6,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 101 | $6,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 706 | $6,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 396 | $6,000 | thousands by filing date | |
| COGNYTE SOFTWARE LTD | M25133105 | ORD SHS | 239 | $6,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 397 | $6,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,000 | $6,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 243 | $6,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 149 | $6,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 77 | $6,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 3,000 | $6,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 1,600 | $6,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 150 | $6,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 238 | $6,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 200 | $6,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 126 | $6,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 112 | $6,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 119 | $6,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 100 | $6,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 100 | $6,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 6,000 | $6,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 505 | $6,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 7,000 | $6,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 75 | $6,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 555 | $6,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 5,896 | $6,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 4,000 | $6,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y180 | COM | 3,244 | $6,000 | thousands by filing date | |
| BANCORPSOUTH BK TUPELO MISS | 05971J102 | COM | 191 | $6,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 105 | $5,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 80 | $5,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 56 | $5,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 81 | $5,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 168 | $5,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 69 | $5,000 | thousands by filing date | |
| SPROUT SOCIAL INC COM CL A | 85209W109 | Stock | 98 | $5,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 268 | $5,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 300 | $5,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 175 | $5,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 120 | $5,000 | thousands by filing date | |
| NEOGEN CORP | 640491106 | COM | 65 | $5,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 163 | $5,000 | thousands by filing date | |
| ABM INDS INC | 000957100 | COM | 112 | $5,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 82 | $5,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 77 | $5,000 | thousands by filing date | |
| SMITH & WESSON BRANDS INC | 831754106 | COM | 300 | $5,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 108 | $5,000 | thousands by filing date | |
| ENVISTA HOLDINGS CORPORATION | 29415F104 | COM | 146 | $5,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 160 | $5,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 48 | $5,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 45 | $5,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 189 | $5,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 300 | $5,000 | thousands by filing date | |
| DESIGNER BRANDS INC | 250565108 | CL A | 334 | $5,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 429 | $5,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 60 | $5,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 120 | $5,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 101 | $5,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 267 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 97 | $5,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 1,000 | $5,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 372 | $5,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 77 | $5,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 734 | $5,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 396 | $5,000 | thousands by filing date | |
| INVESCO TR II ETF S&P 500 EMERGING MKTS LOW VOLATILITY | 46138E297 | ETF | 214 | $5,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 335 | $5,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 534 | $5,000 | thousands by filing date | |
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| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 280 | $5,000 | thousands by filing date | |
| NATWEST GROUP PLC | 639057108 | COMMON STOCK-FO | 1,077 | $5,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 101 | $5,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 631 | $5,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 154 | $5,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 458 | $5,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 4,000 | $5,000 | thousands by filing date | |
| OKTA INC | 679295AD7 | NOTE 0.125% 9/0 | 4,000 | $5,000 | thousands by filing date | |
| MONGODB INC | 60937PAD8 | NOTE 0.250% 1/1 | 4,000 | $5,000 | thousands by filing date | |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 4,000 | $5,000 | thousands by filing date | |
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| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 4,000 | $5,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 6,000 | $5,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 7,000 | $5,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 2,425 | $5,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 5,000 | $5,000 | thousands by filing date | |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 3,000 | $5,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 534 | $5,000 | thousands by filing date | |
| ALPHA HEALTHCARE ACQUISTN CO | 020751103 | CL A | 500 | $5,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q105 | COM CL A | 500 | $5,000 | thousands by filing date | |
| ZANITE ACQUISITION CORP | 98907K103 | COM CL A | 600 | $5,000 | thousands by filing date | |
| GORES HOLDINGS VI INC | 38286R204 | UNIT 08/24/2027 | 400 | $5,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 57 | $4,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 111 | $4,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 73 | $4,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 246 | $4,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 350 | $4,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 74 | $4,000 | thousands by filing date | |
| EOS ENERGY ENTERPRISES INC COM CL A | 29415C101 | Stock | 250 | $4,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 19 | $4,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 106 | $4,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 113 | $4,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 110 | $4,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 225 | $4,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 52 | $4,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 217 | $4,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 54 | $4,000 | thousands by filing date | |
| AVIENT CORPORATION | 05368V106 | COM | 87 | $4,000 | thousands by filing date | |
| ASANA INC | 04342Y104 | CL A | 151 | $4,000 | thousands by filing date | |
| CLARIVATE PLC | G21810109 | ORD SHS | 181 | $4,000 | thousands by filing date | |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 182 | $4,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 58 | $4,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 505 | $4,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 43 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E628 | KBW BK ETF | 68 | $4,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 351 | $4,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 724 | $4,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 50 | $4,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 229 | $4,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 863 | $4,000 | thousands by filing date | |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 164 | $4,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 81 | $4,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 278 | $4,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 200 | $4,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 104 | $4,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 51 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 284 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 159 | $4,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 87 | $4,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 198 | $4,000 | thousands by filing date | |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 266 | $4,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2,000 | $4,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 114 | $4,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 500 | $4,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 326 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 59 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 207 | $4,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 35 | $4,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R108 | BBG COMMD K 1 | 190 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 142 | $4,000 | thousands by filing date | |
| Shopify Inc | 82509LAA5 | Convertible bond | 4,000 | $4,000 | thousands by filing date | |
| VIZIO HOLDING CORP | 92858V101 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 319 | $4,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 382 | $4,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 2,000 | $4,000 | thousands by filing date | |
| PDD HOLDINGS INC | 722304AC6 | NOTE 12/0 | 4,000 | $4,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 3,000 | $4,000 | thousands by filing date | |
| LIVEPERSON INC | 538146AB7 | BOND | 3,000 | $4,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 322 | $4,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 3,000 | $4,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 197 | $4,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 85 | $3,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 119 | $3,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 74 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000315123-21-000007 | this filing | 2021-05-11 | acceptance time not in the bulk data set |