13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 5,137 holding rows worth $346,126,664,000.
- Accession
- 0000769993-19-000551
- Filer
- CIK 886982
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 10,078 entries on the cover page, a total value of $346,126,664,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $346,126,664,000 with VALUE read as thousands by filing date, 13F file number 028-04981. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerUNITED CAPITAL FINANCIAL ADVISERS, LLC028-13508
- included managerGOLDMAN SACHS & CO. LLC028-00687
- included managerGOLDMAN SACHS ASSET MANAGEMENT, L.P.028-10981
- included managerGOLDMAN SACHS INTERNATIONAL028-05109
- included managerGOLDMAN SACHS BANK AG028-05111
- included managerAYCO CO L P028-06738
- included managerGoldman Sachs Trust Company, N.A.028-12021
- included managerGoldman Sachs Financial Markets, L.P.028-14253
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 |
|---|---|---|---|---|---|---|
| CULP INC | 230215105 | CMN | 27,906 | $455,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 10,000 | $454,000 | thousands by filing date | put |
| AGENUS INC | 00847G705 | COM NEW | 175,456 | $452,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 51,488 | $450,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 5,720 | $444,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 36,042 | $443,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 84,681 | $442,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375114 | *W EXP 10/17/202 | 187,500 | $442,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 51,849 | $440,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 19,786 | $435,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 37,469 | $435,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 420,000 | $434,000 | thousands by filing date | principal |
| ARDELYX INC | 039697107 | COM | 92,199 | $433,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 21,035 | $432,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 19,369 | $429,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 10,000 | $427,000 | thousands by filing date | call |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 87,346 | $425,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 6,968 | $424,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 3,692 | $424,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 6,400 | $423,000 | thousands by filing date | call |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 80,256 | $423,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 26,199 | $422,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 29,595 | $422,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 240,425 | $421,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 61,243 | $419,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 32,801 | $417,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 10,000 | $417,000 | thousands by filing date | put |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 12,000 | $416,000 | thousands by filing date | put |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 2,300 | $415,000 | thousands by filing date | call |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 300,557 | $415,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 63,893 | $413,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 27,500 | $413,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 5,000 | $412,000 | thousands by filing date | call |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 24,557 | $412,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 17,107 | $411,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 6,168 | $411,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 25,058 | $411,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 34,699 | $411,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 14,734 | $408,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 5,500 | $408,000 | thousands by filing date | call |
| MODINE MFG CO COM | 607828100 | Stock | 35,802 | $407,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 10,152 | $407,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 10,078 | $407,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 151,646 | $406,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 154,201 | $406,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 10,227 | $402,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 101,235 | $402,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 38,013 | $401,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 5,958 | $401,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 404,000 | $400,000 | thousands by filing date | principal |
| UNDER ARMOUR INC | 904311107 | CL A | 20,000 | $399,000 | thousands by filing date | put |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 2,800 | $398,000 | thousands by filing date | call |
| WAITR HLDGS INC | 930752100 | COM | 309,382 | $398,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 100,700 | $396,000 | thousands by filing date | put |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 22,603 | $394,000 | thousands by filing date | |
| PROSHARES TR | 74347B391 | CMN | 10,000 | $393,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 47,973 | $393,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 23,070 | $392,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 26,207 | $392,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 13,700 | $391,000 | thousands by filing date | put |
| INTREPID POTASH INC | 46121Y102 | COM | 119,739 | $391,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 36,556 | $391,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 62,906 | $388,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W304 | CORRT INM DEFS | 15,000 | $388,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 5,000 | $386,000 | thousands by filing date | put |
| STITCH FIX INC | 860897107 | COM CL A | 20,000 | $385,000 | thousands by filing date | call |
| KALA BIO INC COM | 483119103 | Stock | 101,190 | $385,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 12,600 | $384,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 9,537 | $382,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 201,000 | $382,000 | thousands by filing date | principal |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 15,100 | $381,000 | thousands by filing date | put |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 22,114 | $380,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 675,699 | $379,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 36,447 | $378,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 10,636 | $377,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 31,785 | $376,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 131,692 | $376,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 22,300 | $374,000 | thousands by filing date | call |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 23,715 | $373,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 3,100 | $373,000 | thousands by filing date | put |
| ONESPAN INC | 68287N100 | COM | 25,688 | $373,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 25,254 | $373,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V639 | AI AND NEXT GEN | 4,000 | $372,000 | thousands by filing date | |
| Berry Corp | 08579X101 | Common Stock | 39,497 | $370,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 21,766 | $369,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 58,658 | $369,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 8,500 | $368,000 | thousands by filing date | call |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 15,257 | $368,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 28,397 | $367,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 174,500 | $367,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 22,287 | $366,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 7,676 | $366,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 258,582 | $365,000 | thousands by filing date | |
| PALOMAR HLDGS INC COM | 69753M105 | Stock | 9,227 | $364,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 10,486 | $364,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 7,350 | $363,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 9,000 | $363,000 | thousands by filing date | call |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 51,226 | $363,000 | thousands by filing date | |
| RH | 74967XAA1 | BOND | 335,000 | $363,000 | thousands by filing date | principal |
| CRONOS GROUP INC | 22717L101 | COM | 40,000 | $362,000 | thousands by filing date | put |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 16,524 | $362,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 66,909 | $361,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 30,000 | $360,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 18,500 | $360,000 | thousands by filing date | call |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 116,415 | $360,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,717 | $359,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 113,897 | $358,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 865,482 | $358,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 379,000 | $358,000 | thousands by filing date | principal |
| COVETRUS INC | 22304C100 | COM | 30,000 | $357,000 | thousands by filing date | put |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 116,812 | $356,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 7,948 | $356,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 9,100 | $356,000 | thousands by filing date | call |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 75,469 | $355,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 18,757 | $354,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 5,349 | $351,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 109,000 | $350,000 | thousands by filing date | call |
| ETFIS SER TR I | 26923G830 | VIRTUS GLOVIST | 16,138 | $350,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 34,547 | $348,000 | thousands by filing date | |
| PAGERDUTY INC COM | 69553P100 | Stock | 12,300 | $347,000 | thousands by filing date | call |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 124,967 | $345,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 266,122 | $341,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 4,500 | $339,000 | thousands by filing date | call |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 3,100 | $339,000 | thousands by filing date | put |
| GAMESTOP CORP | 36467W109 | CL A | 61,500 | $339,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 4,620 | $339,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V340 | S&P500 EQL FIN | 7,749 | $338,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 11,363 | $338,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 18,675 | $338,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 69,567 | $337,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 21,715 | $335,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 11,106 | $334,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 11,665 | $333,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 77,188 | $333,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 78,966 | $333,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 86,009 | $333,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 11,013 | $332,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 21,260 | $332,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 17,270 | $332,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 49,605 | $332,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 57,789 | $332,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X172 | US HGH YLD CORP | 6,406 | $330,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 8,000 | $329,000 | thousands by filing date | call |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 10,987 | $329,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 3,000 | $328,000 | thousands by filing date | call |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 83,016 | $327,000 | thousands by filing date | |
| AKAZOO SA | L0164E116 | *W EXP 09/11/202 | 425,000 | $327,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 6,500 | $326,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 102,244 | $326,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 9,685 | $326,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 259,576 | $325,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 31,268 | $325,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 8,374 | $324,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 239,630 | $324,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 18,822 | $323,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 24,812 | $321,000 | thousands by filing date | |
| KRANESHARES QUADRATIC INTEREST RATE VOLATILITY AND INFLATION HEDGE ETF | 500767736 | ETF | 12,585 | $320,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 45,711 | $320,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 5,000 | $318,000 | thousands by filing date | call |
| TRINITY MERGER CORP | 89653L114 | *W EXP 05/11/202 | 250,000 | $318,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 83,839 | $317,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 71,630 | $316,000 | thousands by filing date | |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 352,000 | $316,000 | thousands by filing date | principal |
| CHANNELADVISOR CORP | 159179100 | COM | 33,612 | $314,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 11,187 | $313,000 | thousands by filing date | put |
| EVERQUOTE INC | 30041R108 | COM CL A | 14,656 | $313,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 12,529 | $313,000 | thousands by filing date | |
| TWIN RIV WORLDWIDE HLDGS INC | 90171V204 | COM | 13,728 | $313,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 39,230 | $312,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 8,919 | $311,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 12,250 | $308,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 400,000 | $308,000 | thousands by filing date | principal |
| Zagg, Inc. | 98884U108 | COM | 49,005 | $308,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 14,303 | $308,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 8,837 | $307,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 19,300 | $307,000 | thousands by filing date | call |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 12,704 | $306,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 5,232 | $304,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 134,385 | $304,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 38,619 | $303,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 12,323 | $303,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 234,802 | $303,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 150,114 | $303,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 47,584 | $301,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 14,492 | $300,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 4,122 | $299,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 2,921 | $299,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 24,011 | $298,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 106,794 | $297,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 2,600 | $296,000 | thousands by filing date | put |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 1,568 | $296,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 14,051 | $295,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 21,120 | $295,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 29,987 | $295,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 9,083 | $294,000 | thousands by filing date | |
| TWILIO INC | 90138FAB8 | NOTE 0.250% 6/0 | 176,000 | $294,000 | thousands by filing date | principal |
| CBDMD INC | 12482W101 | COM | 74,358 | $294,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 135,695 | $293,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 21,450 | $293,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 5,203 | $291,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 287,000 | $291,000 | thousands by filing date | principal |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 99,903 | $290,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 1,600 | $289,000 | thousands by filing date | call |
| KOPIN CORP | 500600101 | COMMON STOCK | 420,135 | $285,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 13,376 | $285,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 13,799 | $284,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 17,256 | $281,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 17,062 | $281,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 3,000 | $279,000 | thousands by filing date | put |
| EXAGEN INC | 30068X103 | COM | 18,000 | $279,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 23,744 | $279,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 12,163 | $279,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 4,000 | $278,000 | thousands by filing date | put |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 126,184 | $278,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 62,235 | $278,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 207,820 | $276,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 26,090 | $274,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2020 CORP | 46138J502 | BULSHS 2020 CB | 12,818 | $273,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 10,965 | $272,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 2,283 | $272,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 30,502 | $272,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 36,155 | $271,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 6,329 | $269,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 8,500 | $269,000 | thousands by filing date | put |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 27,136 | $269,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 200,192 | $268,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 20,000 | $267,000 | thousands by filing date | call |
| Southern Company | 842587107 | COM | 4,300 | $266,000 | thousands by filing date | put |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 86,776 | $265,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 18,380 | $264,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 17,600 | $262,000 | thousands by filing date | call |
| CITIZENS INC | 174740100 | COMMON STOCK | 37,936 | $261,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 2,848 | $260,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 27,385 | $260,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 29,200 | $259,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 4,157 | $259,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 32,094 | $257,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 70,603 | $256,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 23,692 | $256,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 29,912 | $256,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 7,263 | $255,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 15,969 | $255,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 10,677 | $254,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 16,446 | $254,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 83,231 | $253,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 4,571 | $253,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 17,281 | $252,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 46,568 | $251,000 | thousands by filing date | |
| HEALTH CATALYST INC | 42225T107 | COM | 7,883 | $249,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 6,690 | $248,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 46,386 | $248,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 50,109 | $248,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 3,858 | $247,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 104,372 | $247,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 16,244 | $247,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 13,097 | $246,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 25,389 | $246,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 131,726 | $246,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 169,839 | $245,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 34,699 | $244,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 15,827 | $243,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 16,160 | $243,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 91,134 | $242,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 100,000 | $241,000 | thousands by filing date | call |
| ATHERSYS INC | 04744L106 | COM | 179,752 | $239,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 4,878 | $238,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 45,812 | $238,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 4,190 | $235,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 235,000 | $234,000 | thousands by filing date | principal |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 7,554 | $233,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 1,429 | $233,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 51,783 | $233,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 15,609 | $232,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 39,457 | $232,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 23,580 | $231,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 50,000 | $230,000 | thousands by filing date | put |
| VISTA ENERGY S.A.B. DE C.V. SPONSORED ADS | 92837L109 | ADR | 44,096 | $228,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 25,853 | $228,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 123,627 | $227,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 31,655 | $226,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 22,035 | $226,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 64,851 | $226,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 4,400 | $225,000 | thousands by filing date | call |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 33,443 | $225,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 304,854 | $225,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 10,428 | $224,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 16,737 | $223,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 35,946 | $222,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 400 | $220,000 | thousands by filing date | put |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 7,941 | $220,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 81,505 | $220,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 33,445 | $220,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 2,514 | $220,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 44,965 | $219,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 30,198 | $218,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 15,587 | $218,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 7,056 | $218,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 75,836 | $218,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 29,993 | $217,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 26,019 | $216,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 2,250 | $216,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 12,972 | $216,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 2,000 | $215,000 | thousands by filing date | call |
| BLOOM ENERGY CORP | 093712107 | COM | 65,862 | $214,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 9,262 | $213,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 7,320 | $213,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 9,658 | $212,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 38,538 | $212,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 6,100 | $211,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 12,844 | $211,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 32,647 | $211,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 30,001 | $210,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 58,876 | $210,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 102,197 | $209,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 8,947 | $208,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 227,974 | $208,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 4,202 | $205,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 9,426 | $205,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 75,081 | $205,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 8,386 | $205,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 208,000 | $204,000 | thousands by filing date | principal |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 41,987 | $202,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 276,251 | $202,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 8,060 | $201,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 42,245 | $200,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 31,126 | $200,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 142,257 | $200,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 13,634 | $198,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 40,238 | $198,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 25,115 | $197,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 165,260 | $195,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 15,103 | $194,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 18,606 | $194,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 10,194 | $193,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 16,917 | $192,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 25,577 | $192,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 14,773 | $192,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 11,371 | $189,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 14,845 | $189,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 707,738 | $187,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 19,926 | $185,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 27,871 | $185,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 16,606 | $183,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 122,000 | $182,000 | thousands by filing date | principal |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 31,245 | $181,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 59,883 | $180,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 21,395 | $180,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 35,787 | $179,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 11,866 | $179,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 10,000 | $177,000 | thousands by filing date | call |
| EROS INTL PLC | G3788M114 | SHS NEW | 91,452 | $175,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 53,445 | $174,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 13,146 | $173,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 77,296 | $172,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 15,903 | $172,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 58,589 | $172,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 18,140 | $172,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 12,104 | $171,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 38,963 | $171,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 22,737 | $170,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E208 | UNIT 01/30/2023 | 16,375 | $169,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 13,365 | $168,000 | thousands by filing date | |
| MRI INTERVENTIONS INC | 55347P209 | COM NEW | 33,206 | $168,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 15,617 | $167,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 14,037 | $167,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 37,260 | $167,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 77,559 | $166,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 14,896 | $164,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 409,500 | $164,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 12,086 | $163,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 11,987 | $163,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 10,541 | $163,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 11,036 | $162,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 11,873 | $162,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 32,230 | $162,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 11,108 | $161,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 12,969 | $161,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 94,355 | $160,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 18,052 | $160,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 104,228 | $159,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 78,842 | $158,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 182,664 | $158,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 49,379 | $158,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 83,970 | $157,000 | thousands by filing date | |
| NEPHROS INC | 640671400 | COM | 19,418 | $156,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 15,304 | $156,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 147,152 | $156,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 23,250 | $155,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 77,549 | $155,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 31,972 | $154,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 73,721 | $153,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 22,856 | $153,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 87,501 | $153,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 504,715 | $153,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 41,592 | $152,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 38,152 | $152,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 11,900 | $151,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 37,875 | $151,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 206,782 | $150,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745113 | *W EXP 02/12/202 | 250,000 | $150,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 37,900 | $149,000 | thousands by filing date | call |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 100,000 | $149,000 | thousands by filing date | principal |
| PENNEY J C INC | 708160106 | COM | 167,600 | $149,000 | thousands by filing date | put |
| PYXUS INTL INC | 74737V106 | COM | 11,394 | $149,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 103,496 | $149,000 | thousands by filing date | |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 16,600 | $148,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 15,628 | $148,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 48,286 | $147,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 13,806 | $146,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 43,674 | $143,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 58,200 | $143,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 69,294 | $139,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 19,100 | $138,000 | thousands by filing date | put |
| OTONOMY INC | 68906L105 | COM | 57,860 | $138,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 27,606 | $137,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 18,050 | $135,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 13,423 | $135,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 14,705 | $135,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 19,500 | $135,000 | thousands by filing date | call |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 14,645 | $134,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 22,141 | $134,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 70,017 | $133,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 13,321 | $131,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 36,403 | $131,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 83,929 | $130,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 15,800 | $129,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N111 | *W EXP 05/11/202 | 180,000 | $128,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 25,875 | $127,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 14,494 | $125,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 13,814 | $125,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 28,724 | $125,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 14,503 | $121,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 13,128 | $120,000 | thousands by filing date | |
| JERASH HLDGS US INC | 47632P101 | CMN | 16,043 | $119,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 10,142 | $119,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 13,174 | $118,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 13,716 | $118,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 18,313 | $118,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 19,856 | $118,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 34,898 | $117,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 32,544 | $116,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 35,932 | $116,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 73,103 | $116,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 24,998 | $116,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 17,022 | $115,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 12,000 | $115,000 | thousands by filing date | put |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 28,862 | $114,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 20,247 | $114,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 10,509 | $113,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 11,066 | $111,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 11,107 | $111,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 60,702 | $109,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 10,091 | $106,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 14,068 | $106,000 | thousands by filing date | |
| FORUM MERGER II CORP | 34986F111 | W EXP 09/30/202 | 180,000 | $106,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 13,925 | $104,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W303 | COM | 23,688 | $104,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 13,491 | $101,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 22,101 | $100,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 104,600 | $100,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 23,020 | $100,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 32,542 | $97,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 78,812 | $97,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 25,000 | $96,000 | thousands by filing date | call |
| TORM PLC SHS CL A | G89479102 | Stock | 11,379 | $96,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 49,731 | $96,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 34,885 | $96,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E117 | *W EXP 04/11/202 | 66,667 | $96,000 | thousands by filing date | |
| PECK CO HLDGS INC | 705163103 | COM NEW | 20,993 | $96,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 10,529 | $95,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 58,121 | $95,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 15,761 | $94,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 151,336 | $94,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 125,000 | $94,000 | thousands by filing date | |
| RANPAK HLDGS CORP | 75321W111 | *W EXP 06/03/202 | 125,000 | $94,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 58,484 | $93,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 22,210 | $93,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 13,067 | $92,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L113 | *W EXP 07/31/202 | 125,000 | $92,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 17,443 | $91,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 10,837 | $91,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 19,604 | $89,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 31,210 | $88,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643111 | *W EXP 11/30/202 | 250,000 | $88,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B208 | *W EXP 07/21/202 | 250,000 | $87,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 12,574 | $83,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 24,358 | $82,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 16,907 | $81,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 12,388 | $81,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 36,268 | $80,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 12,400 | $78,000 | thousands by filing date | put |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 27,949 | $78,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 45,418 | $78,000 | thousands by filing date | |
| GRAF INDL CORP | 384278115 | Stock | 198,000 | $77,000 | thousands by filing date | |
| CHASERG TECHNLGY ACQUISITN C | 16166A111 | W EXP 04/10/202 | 90,000 | $77,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 20,016 | $74,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 24,162 | $74,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 14,526 | $74,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 21,925 | $73,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 220,507 | $72,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-19-000551 | this filing | 2019-11-14 | acceptance time not in the bulk data set |