13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-12, with 5,448 holding rows worth $388,633,072,000.
- Accession
- 0000769993-21-000117
- Filer
- CIK 886982
- Filed
- 2021-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A combination report, 10,482 entries on the cover page, a total value of $388,633,072,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $388,633,072,000 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 |
|---|---|---|---|---|---|---|
| Vanguard Materials ETF | 92204A801 | SHS | 1,518 | $238,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 42,577 | $238,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 20,400 | $238,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 135,132 | $238,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 60,024 | $238,000 | thousands by filing date | |
| FISKER INC | 33813J114 | *W EXP 12/01/202 | 48,333 | $238,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 23,295 | $236,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 31,140 | $236,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 14,216 | $235,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 4,700 | $234,000 | thousands by filing date | call |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 3,474 | $234,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 88,746 | $233,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 15,025 | $232,000 | thousands by filing date | |
| VanEck Vectors Energy Inc | 92189H870 | ENERGY INCOME | 5,646 | $232,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 7,857 | $231,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 2,652 | $231,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 30,290 | $231,000 | thousands by filing date | |
| AJAX I | G0190X118 | UNIT 99/99/9999 | 18,505 | $230,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 17,500 | $229,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 13,028 | $229,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 10,000 | $228,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 5,869 | $228,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 9,074 | $228,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 9,793 | $228,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G106 | COM | 18,914 | $228,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 3,416 | $227,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 33,097 | $227,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 32,938 | $226,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 33,997 | $226,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 22,161 | $226,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 11,972 | $225,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 2,824 | $225,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E156 | S&P SMLCP FINL | 4,588 | $225,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 12,249 | $225,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 2,000 | $224,000 | thousands by filing date | put |
| NOVAVAX INC | 670002401 | COM NEW | 2,000 | $223,000 | thousands by filing date | put |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 10,345 | $223,000 | thousands by filing date | |
| MOHAWK GROUP HLDGS INC | 608189106 | COM | 12,976 | $223,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 41,540 | $222,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 1,343 | $222,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 9,095 | $222,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 273,086 | $222,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 21,792 | $220,000 | thousands by filing date | |
| FOGHORN THERAPEUTICS INC | 344174107 | COMMON STOCK | 10,845 | $220,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 6,305 | $219,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 15,971 | $219,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 9,255 | $218,000 | thousands by filing date | |
| INNOVATOR U.S. SMALL CAP POWER BUFFER ETF - APRIL | 45782C342 | ETF | 8,064 | $217,000 | thousands by filing date | |
| Natural Order Acquisition Corp | 63889L206 | Equity | 20,000 | $217,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 7,306 | $216,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P512 | INTEL MACHI ETF | 4,972 | $216,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVT CORP | 443761200 | UNIT 06/21/2025 | 18,937 | $216,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 4,110 | $215,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 7,805 | $215,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 3,500 | $214,000 | thousands by filing date | call |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 4,000 | $214,000 | thousands by filing date | put |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 8,957 | $214,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 3,126 | $213,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 12,378 | $213,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 25,079 | $213,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 6,888 | $213,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 85,290 | $212,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 19,049 | $211,000 | thousands by filing date | |
| KRANESHARES TR | 500767728 | LRG CAP QTY DIVD | 7,349 | $211,000 | thousands by filing date | |
| INSU ACQUISITION CORP III | 457817302 | UNIT 12/31/2026 | 20,000 | $211,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 337,188 | $211,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 59,250 | $210,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 39,768 | $210,000 | thousands by filing date | |
| IQIYI INC | 46267XAB4 | NOTE 3.750%12/0 | 207,000 | $210,000 | thousands by filing date | principal |
| HYRECAR INC | 44916T107 | COM | 29,398 | $210,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 38,152 | $209,000 | thousands by filing date | |
| GEN DIGITAL INC COM | 668771108 | Stock | 10,000 | $208,000 | thousands by filing date | put |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 78,034 | $208,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 4,503 | $207,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 16,311 | $207,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 36,549 | $207,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 11,693 | $207,000 | thousands by filing date | |
| DPW HLDGS INC COM | 26140E600 | Stock | 47,490 | $207,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 8,662 | $206,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 93,010 | $205,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K123 | UNIT 99/99/9999 | 11,369 | $205,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 5,500 | $204,000 | thousands by filing date | call |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 13,720 | $203,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 4,739 | $203,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 164,000 | $203,000 | thousands by filing date | principal |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 4,888 | $202,000 | thousands by filing date | |
| CURIOSITYSTREAM INC | 23130Q107 | COMMON STOCK | 14,479 | $202,000 | thousands by filing date | |
| STEPSTONE GROUP INC | 85914M107 | COM CL A | 5,046 | $201,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 10,570 | $201,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 3,934 | $200,000 | thousands by filing date | |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 150,000 | $200,000 | thousands by filing date | principal |
| WAITR HLDGS INC | 930752100 | COM | 71,871 | $200,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 39,533 | $199,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A130 | COM | 11,777 | $199,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 27,501 | $198,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 11,889 | $198,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 30,517 | $198,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 14,980 | $198,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G114 | WTS | 125,000 | $198,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 12,577 | $197,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 18,204 | $194,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 35,328 | $193,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 33,557 | $192,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 12,533 | $190,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 10,832 | $190,000 | thousands by filing date | |
| X FINL | 98372W202 | SPONSORED ADS | 95,113 | $190,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 50,508 | $190,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 12,476 | $189,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 10,908 | $189,000 | thousands by filing date | |
| HIGHPOINT RESOURCES CORP COM | 43114K207 | Stock | 20,583 | $189,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 117,748 | $188,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 34,415 | $186,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 20,459 | $186,000 | thousands by filing date | |
| CARTER BANKSHARES INC | 146103106 | COMMON STOCK | 17,332 | $186,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865103 | COM CL A | 14,195 | $186,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 11,658 | $185,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 89,283 | $185,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 20,010 | $185,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 11,874 | $185,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 57,586 | $185,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 24,671 | $184,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 36,947 | $183,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 10,732 | $180,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 38,275 | $180,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 15,676 | $178,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 31,269 | $178,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 15,008 | $176,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 18,362 | $176,000 | thousands by filing date | |
| WORKIVA INC | 98139AAB1 | NOTE 1.125% 8/1 | 132,000 | $176,000 | thousands by filing date | principal |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 66,514 | $176,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 49,719 | $175,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 39,452 | $175,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 10,080 | $174,000 | thousands by filing date | call |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 14,857 | $174,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 42,100 | $174,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T117 | *W EXP 99/99/999 | 83,333 | $173,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 11,659 | $172,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 52,024 | $172,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 83,970 | $172,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 32,792 | $171,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 37,138 | $171,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T125 | UNIT 99/99/9999 | 14,822 | $171,000 | thousands by filing date | |
| GIGCAPITAL3 INC | 37519D107 | COM | 13,000 | $171,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 26,307 | $170,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 130,908 | $170,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 17,121 | $169,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 17,123 | $169,000 | thousands by filing date | |
| AERSALE CORPORATION | 00810F106 | COM | 12,500 | $168,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 38,745 | $168,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 16,389 | $168,000 | thousands by filing date | |
| HORIZON ACQUISITION CORP | G46049113 | *W EXP 08/19/202 | 115,000 | $167,000 | thousands by filing date | |
| E MERGE TECHNOLOGY ACQUISITION UNIT EX 073025 | 26873Y203 | Stock | 15,700 | $167,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 11,968 | $166,000 | thousands by filing date | |
| FUSION PHARMACEUTICALS INC | 36118A100 | COM | 14,157 | $166,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 77,940 | $165,000 | thousands by filing date | |
| ETHZILLA CORPORATION | 68236V112 | *W EXP 11/06/202 | 500,000 | $165,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 28,023 | $164,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC | 86627T108 | COM | 34,809 | $164,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 33,388 | $164,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 54,497 | $164,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 33,727 | $163,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 84,175 | $163,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 102,438 | $162,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 30,024 | $162,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 17,182 | $162,000 | thousands by filing date | |
| ROTH CH ACQUISITION I CO | 778675108 | COM | 10,025 | $162,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 14,626 | $160,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 46,406 | $160,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 11,651 | $160,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 16,028 | $159,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 23,186 | $159,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 10,888 | $157,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 10,464 | $157,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 115,963 | $155,000 | thousands by filing date | |
| J JILL INC | 46620W201 | COMMON STOCK | 41,238 | $154,000 | thousands by filing date | |
| LION GROUP HOLDING LTD | 53620U102 | ADR | 80,000 | $154,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 93,053 | $153,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 12,248 | $153,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAD3 | NOTE 1.125%11/0 | 75,000 | $153,000 | thousands by filing date | principal |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 31,474 | $153,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 10,360 | $152,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 15,337 | $151,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 12,699 | $151,000 | thousands by filing date | |
| METACRINE INC | 59101E103 | COM | 19,040 | $150,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 12,197 | $149,000 | thousands by filing date | |
| Milestone Pharmaceuticals Inc | 59935V107 | COM | 22,250 | $149,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 128,000 | $148,000 | thousands by filing date | principal |
| GRITSTONE BIO INC | 39868T105 | COM | 37,635 | $148,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 74,972 | $147,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 58,278 | $147,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 61,687 | $147,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 16,126 | $146,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 19,459 | $145,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 15,262 | $145,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 10,913 | $145,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 31,427 | $145,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 143,843 | $145,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 24,900 | $145,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 16,495 | $144,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 10,240 | $144,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 12,963 | $144,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 10,798 | $143,000 | thousands by filing date | |
| UPHEALTH INC | 375036100 | Common Stock | 13,000 | $142,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 14,859 | $141,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 106,031 | $141,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 114,099 | $141,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 16,797 | $141,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 36,793 | $141,000 | thousands by filing date | |
| NAVSIGHT HLDGS INC | 639358118 | *W EXP 01/01/203 | 110,000 | $141,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865202 | UNIT 02/01/2023 | 10,000 | $141,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 25,652 | $140,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 15,459 | $139,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 19,834 | $139,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 20,661 | $139,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 30,807 | $139,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 72,075 | $139,000 | thousands by filing date | |
| CF FINANCE ACQUISITION CORP | 15725Q203 | UNIT 08/01/2027 | 11,774 | $139,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 10,217 | $138,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 10,210 | $138,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 41,582 | $137,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 12,569 | $137,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 19,722 | $137,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 21,108 | $137,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 23,169 | $137,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514103 | SHS CL A | 10,000 | $137,000 | thousands by filing date | |
| PMV CONSUMER ACQUISITION COR | 693486102 | CMN | 13,500 | $137,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 13,237 | $136,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 11,219 | $136,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 64,140 | $136,000 | thousands by filing date | |
| SCVX CORP | G79448117 | *W EXP 01/24/202 | 80,000 | $136,000 | thousands by filing date | |
| Rodgers Silicon Valley Acquisition Corp | 774873202 | Unit | 10,000 | $134,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 11,100 | $133,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 76,087 | $133,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 41,571 | $133,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 19,448 | $133,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 28,503 | $133,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 28,867 | $131,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 83,260 | $130,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 72,040 | $130,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 10,490 | $129,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 22,600 | $129,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 14,385 | $129,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 10,587 | $129,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 38,237 | $128,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 12,145 | $128,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 126,538 | $128,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 17,039 | $127,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 34,497 | $127,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,594 | $126,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 17,027 | $126,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 13,778 | $125,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 20,199 | $124,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 19,394 | $124,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 24,964 | $123,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 10,284 | $123,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 10,832 | $123,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 21,798 | $122,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 19,265 | $121,000 | thousands by filing date | |
| ORUKA THERAPEUTICS INC COM | 00211Y506 | Stock | 30,299 | $121,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 18,596 | $120,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D309 | ADS COMMON | 39,364 | $120,000 | thousands by filing date | |
| KUBIENT INC COM USD0.00001 | 50116V107 | COM | 21,258 | $119,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 55,729 | $118,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 12,458 | $118,000 | thousands by filing date | |
| AMERICAN VRTUAL CLOUD TECH I | 030382113 | *W EXP 04/07/202 | 250,000 | $118,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 25,232 | $117,000 | thousands by filing date | |
| PANACEA ACQUISITION CORP | 698102100 | CL A | 10,000 | $117,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC | 19240Q201 | COM | 10,313 | $116,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 14,543 | $116,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 54,931 | $115,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 11,686 | $115,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 46,915 | $114,000 | thousands by filing date | |
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 10,000 | $114,000 | thousands by filing date | principal |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 23,545 | $113,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 94,296 | $113,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISTN COR | 34431F104 | COM CL A | 10,000 | $112,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 36,802 | $112,000 | thousands by filing date | |
| BATTALION OIL CORP | 07134L107 | COM | 13,340 | $111,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 13,790 | $109,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G114 | *W EXP 11/30/202 | 50,000 | $109,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 15,290 | $108,000 | thousands by filing date | |
| NEBULA CARAVEL ACQUISITION C | 629070202 | UNIT 12/09/2023 | 10,000 | $108,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 75,396 | $105,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 17,147 | $103,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 37,491 | $103,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 42,655 | $102,000 | thousands by filing date | |
| BLUECITY HLDGS LTD | 09610L106 | ADS | 10,072 | $102,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 12,029 | $100,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 25,429 | $100,000 | thousands by filing date | |
| PURPLE BIOTECH LTD SPONSORED ADR | 74638P109 | ADR | 26,167 | $100,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 86,154 | $99,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 62,441 | $99,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 19,822 | $99,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 125,000 | $99,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 49,004 | $98,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 15,629 | $98,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 18,002 | $97,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978AAC8 | NOTE 0.125%12/1 | 65,000 | $97,000 | thousands by filing date | principal |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 11,600 | $97,000 | thousands by filing date | call |
| INTEC PHARMA LTD JERUSALEM | M53644148 | SHS NEW | 27,998 | $97,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 18,118 | $96,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 10,358 | $95,000 | thousands by filing date | |
| CC NEUBERGER PRIN HLDGS II | G3166T111 | *W EXP 07/29/202 | 55,000 | $94,000 | thousands by filing date | |
| INTL GNRL INSURANCE HLDNGS L | G4809J114 | WTS | 117,500 | $93,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 11,306 | $92,000 | thousands by filing date | |
| VERB TECHNOLOGY CO INC | 92337U104 | COM | 55,146 | $91,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 42,532 | $91,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP | G23726113 | *W EXP 08/28/202 | 50,000 | $90,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 25,074 | $89,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCES INC | 004468500 | COMMON STOCK | 10,816 | $88,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 27,056 | $88,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 10,084 | $87,000 | thousands by filing date | |
| QNITY ELECTRONICS INC | 817323207 | COM | 14,484 | $87,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 22,794 | $87,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 29,579 | $87,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 23,360 | $86,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 41,770 | $85,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 15,621 | $84,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 14,074 | $83,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 12,089 | $83,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 31,312 | $83,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 10,492 | $83,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 25,300 | $82,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 42,888 | $82,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 45,011 | $80,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 83,334 | $80,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 11,434 | $79,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 57,824 | $79,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 49,051 | $77,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 60,816 | $76,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 56,336 | $76,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 13,365 | $75,000 | thousands by filing date | |
| STARRY GROUP HOLDINGS INC WT EXP 032927 | 33765Y119 | Common Stock | 30,000 | $75,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAB2 | BOND | 56,000 | $74,000 | thousands by filing date | principal |
| BIO-KEY INTL INC | 09060C408 | COM NEW | 21,027 | $74,000 | thousands by filing date | |
| GOLDMINING INC | 38149E101 | COM | 33,292 | $73,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 17,383 | $73,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 35,204 | $73,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 18,248 | $71,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 32,944 | $70,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 26,182 | $70,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 11,072 | $70,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 250,000 | $68,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 51,755 | $68,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 10,077 | $66,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 48,213 | $65,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 19,000 | $64,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 12,876 | $64,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 25,472 | $63,000 | thousands by filing date | |
| CAPSTAR SPL PURP ACQUISITION | 14070Y119 | *W EXP 99/99/999 | 45,000 | $63,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 25,551 | $63,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 22,135 | $62,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328874 | COM NEW | 31,389 | $62,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 14,397 | $61,000 | thousands by filing date | |
| AKERNA CORP | 00973W110 | WTS | 65,300 | $61,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 28,170 | $60,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 48,860 | $60,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 45,822 | $60,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 13,249 | $59,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 16,795 | $59,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 32,855 | $58,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 29,301 | $58,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 23,565 | $58,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 24,026 | $58,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 12,322 | $57,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 31,751 | $57,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 43,920 | $56,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLDWT | G8251L113 | WARRANT AND RIGH | 17,225 | $56,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 23,023 | $56,000 | thousands by filing date | |
| GLOBAL BLUE GROUP HOLDING AG | H33700115 | *W EXP 08/28/202 | 33,333 | $55,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 10,380 | $55,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 12,986 | $55,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 10,983 | $54,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 19,000 | $54,000 | thousands by filing date | principal |
| EVOKE PHARMA INC | 30049G104 | COM | 20,978 | $54,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 52,216 | $53,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 13,183 | $53,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 23,161 | $52,000 | thousands by filing date | |
| EDOC ACQUISITION CORP | G4000A110 | *W EXP 11/30/202 | 75,400 | $52,000 | thousands by filing date | |
| DIGIRAD CORP | 253827703 | COM NEW | 14,443 | $52,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 70,436 | $51,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 17,372 | $50,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 24,058 | $50,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 17,394 | $50,000 | thousands by filing date | |
| INPIXON | 45790J800 | COM | 48,593 | $50,000 | thousands by filing date | |
| INVO Bioscience, Inc. | 44984F302 | common | 16,390 | $49,000 | thousands by filing date | |
| EDOC ACQUISITION CORP | G4000A136 | COM | 79,000 | $47,000 | thousands by filing date | |
| RUHNN HLDG LTD | 781314109 | ADS | 16,142 | $47,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 34,800 | $46,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 11,824 | $46,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 35,000 | $45,000 | thousands by filing date | principal |
| CYCLO THERAPEUTICS INC | 23254X201 | Common Stock | 10,283 | $45,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 33,919 | $45,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 32,270 | $44,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 17,925 | $43,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 19,600 | $42,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 23,818 | $41,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 91,142 | $41,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 34,226 | $41,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 12,433 | $41,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 13,533 | $40,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 27,594 | $40,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 26,425 | $39,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 42,538 | $39,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 14,154 | $38,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 55,858 | $38,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 14,400 | $38,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 36,000 | $38,000 | thousands by filing date | principal |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 42,750 | $37,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351XAB7 | NOTE 2.250% 6/1 | 35,000 | $36,000 | thousands by filing date | principal |
| FALCON MINERALS CORP | 30607B208 | *W EXP 07/21/202 | 250,000 | $36,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 10,479 | $35,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 33,202 | $35,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 15,998 | $34,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 12,794 | $33,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 32,000 | $33,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 35,000 | $33,000 | thousands by filing date | principal |
| HALL OF FAME RESORT & ENTMT | 40619L110 | *W EXP 07/01/202 | 122,980 | $32,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 20,069 | $30,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 23,339 | $30,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 43,991 | $29,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 12,837 | $29,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 30,000 | $29,000 | thousands by filing date | principal |
| IBIO INC | 451033203 | COM NEW | 27,170 | $29,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 68,876 | $29,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 14,566 | $29,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 28,000 | $28,000 | thousands by filing date | principal |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 71,387 | $26,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P125 | W EXP 10/12/202 | 71,594 | $26,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| Dawson Geophysical Co Ne | 239360100 | COM | 10,897 | $23,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 16,934 | $23,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 12,123 | $22,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 14,989 | $22,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 11,258 | $21,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 21,000 | $21,000 | thousands by filing date | principal |
| APOLLO STRATEGIC GROWTH CAPT | G0411R114 | *W EXP 10/29/202 | 11,280 | $21,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 14,000 | $20,000 | thousands by filing date | principal |
| Ampio Pharmaceuticals | 03209T109 | COM | 12,264 | $19,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 13,835 | $17,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 13,266 | $17,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 26,143 | $17,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 27,701 | $10,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 12,112 | $9,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 20,409 | $7,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R174 | *W EXP 11/14/202 | 21,177 | $6,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J126 | *W EXP 03/14/202 | 26,384 | $6,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 27,483 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-21-000117 | this filing | 2021-02-12 | acceptance time not in the bulk data set |