13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-08, with 7,748 holding rows worth $126,133,038,000.
- Accession
- 0000831001-19-000126
- Filer
- CIK 831001
- Filed
- 2019-11-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 16,306 entries on the cover page, a total value of $126,133,038,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $126,133,038,000 with VALUE read as thousands by filing date, 13F file number 028-02427. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerCitibank (Switzerland)028-04289
- included managerCitibank, N.A.028-04287
- included managerCitibank Canada028-06215
- included managerCitibank Overseas Investment Corp028-05347
- included managerCiticorp LLC028-11520
- included managerCiticorp Banking Corp028-04349
- included managerCiticorp Trust Delaware, National Association028-12382
- included managerCiticorp Trust South Dakota028-12977
- included managerCitigroup Derivatives Markets Inc.028-11547
- included managerCitigroup Financial Products Inc.028-01114
- included managerCitigroup Global Markets Europe AG028-10817
- included managerCitigroup Global Markets Holdings Bahamas Ltd028-19110
- included managerCitigroup Global Markets Holdings Inc.028-01109
- included managerCitigroup Global Markets Inc.028-00541
- included managerCitigroup Global Markets Ltd028-04309
- included managerCitigroup Inc. 028-02427
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 |
|---|---|---|---|---|---|---|
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 3,300 | $61,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 6,000 | $61,000 | thousands by filing date | put |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 6,039 | $61,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 9,835 | $61,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 12,100 | $61,000 | thousands by filing date | put |
| ON DECK CAP INC | 682163100 | COM | 18,192 | $61,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 800 | $60,000 | thousands by filing date | call |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 800 | $60,000 | thousands by filing date | put |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 440 | $60,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 3,850 | $60,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 3,080 | $60,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 500 | $60,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 1,814 | $60,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 2,500 | $60,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 21,405 | $60,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 8,394 | $60,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 1,872 | $60,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 3,500 | $60,000 | thousands by filing date | put |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 3,087 | $59,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 25,900 | $59,000 | thousands by filing date | put |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 6,525 | $59,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 3,636 | $59,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 2,450 | $59,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 3,759 | $59,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 1,500 | $59,000 | thousands by filing date | call |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 3,846 | $59,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 3,947 | $59,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,813 | $59,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 9,084 | $59,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 16,600 | $59,000 | thousands by filing date | put |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 16,600 | $59,000 | thousands by filing date | call |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 28,044 | $59,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 1,100 | $58,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 1,834 | $58,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 1,531 | $58,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 2,000 | $58,000 | thousands by filing date | put |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 3,355 | $58,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 4,248 | $58,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 300 | $58,000 | thousands by filing date | put |
| CARDLYTICS INC | 14161W105 | COM | 1,720 | $58,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 1,547 | $58,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 4,168 | $58,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 4,007 | $57,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 2,214 | $57,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 2,295 | $57,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,438 | $57,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 11,200 | $57,000 | thousands by filing date | call |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 648 | $57,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 18,437 | $57,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,598 | $57,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 1,906 | $56,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 1,100 | $56,000 | thousands by filing date | call |
| COMSTOCK RES INC COM | 205768302 | Stock | 7,141 | $56,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 5,529 | $56,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 9,174 | $56,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 4,244 | $56,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 1,060 | $56,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 1,600 | $56,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 1,939 | $56,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 11,885 | $56,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 2,197 | $56,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 25,500 | $55,000 | thousands by filing date | call |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 1,194 | $55,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 5,302 | $55,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 8,551 | $55,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 13,367 | $55,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 10,000 | $55,000 | thousands by filing date | put |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 6,400 | $55,000 | thousands by filing date | call |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 1,883 | $55,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,817 | $55,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 20,096 | $55,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 5,100 | $55,000 | thousands by filing date | put |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 3,735 | $54,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 14,844 | $54,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 2,200 | $54,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 900 | $54,000 | thousands by filing date | put |
| SAFEHOLD INC | 78645L100 | COM | 1,792 | $54,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,700 | $54,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 545 | $54,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 75,000 | $54,000 | thousands by filing date | principal |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 4,000 | $54,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,052 | $54,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 5,474 | $54,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 4,700 | $54,000 | thousands by filing date | put |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 4,946 | $54,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 800 | $53,000 | thousands by filing date | call |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 1,000 | $53,000 | thousands by filing date | put |
| ELANCO ANIMAL HEALTH INC COM | 28414H103 | Stock | 2,000 | $53,000 | thousands by filing date | call |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 2,500 | $53,000 | thousands by filing date | put |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 4,118 | $53,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 5,079 | $53,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 75,000 | $53,000 | thousands by filing date | principal |
| VERSUM MATLS INC | 92532W103 | COM | 1,000 | $53,000 | thousands by filing date | put |
| BRIGHTCOVE INC | 10921T101 | COM | 5,034 | $53,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 5,521 | $53,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 12,412 | $53,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 11,400 | $53,000 | thousands by filing date | put |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 37,118 | $53,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 917 | $52,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 600 | $52,000 | thousands by filing date | call |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 1,968 | $52,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 2,553 | $52,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 1,000 | $52,000 | thousands by filing date | call |
| CRITEO S A SPONS ADS | 226718104 | ADR | 2,800 | $52,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 965 | $52,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 1,453 | $52,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 3,150 | $52,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,992 | $52,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 5,300 | $52,000 | thousands by filing date | put |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 14,400 | $52,000 | thousands by filing date | put |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 739 | $51,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 600 | $51,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 2,509 | $51,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 2,700 | $51,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 4,030 | $51,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 1,522 | $51,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 1,872 | $51,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 2,494 | $51,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 4,977 | $51,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 7,425 | $51,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 42,800 | $51,000 | thousands by filing date | call |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 2,484 | $50,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 1,317 | $50,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 2,400 | $50,000 | thousands by filing date | put |
| NUSHARES ETF TR | 67092P300 | NUVEEN ESG LRGVL | 1,604 | $50,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 10,011 | $50,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 2,375 | $50,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 3,201 | $50,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 3,500 | $50,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 552 | $50,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 4,000 | $50,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 2,861 | $50,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 16,370 | $50,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 1,880 | $50,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 677 | $50,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 6,393 | $50,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 50,000 | $50,000 | thousands by filing date | principal |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 2,300 | $49,000 | thousands by filing date | put |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 2,200 | $49,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 872 | $49,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 450 | $49,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 2,112 | $49,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 415 | $49,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 5,000 | $49,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25460E166 | DAILY JR GLD MIN | 860 | $49,000 | thousands by filing date | call |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 1,815 | $48,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 542 | $48,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 200 | $48,000 | thousands by filing date | put |
| NVE CORP COM NEW | 629445206 | Stock | 725 | $48,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 2,800 | $48,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 1,113 | $48,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 11,096 | $48,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 3,000 | $48,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,488 | $48,000 | thousands by filing date | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 1,326 | $48,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 792 | $48,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 12,000 | $48,000 | thousands by filing date | put |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 20,000 | $48,000 | thousands by filing date | put |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 8,825 | $48,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 3,082 | $48,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 7,369 | $48,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 10,306 | $48,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 2,862 | $48,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 21,484 | $48,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 6,312 | $47,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 8,100 | $47,000 | thousands by filing date | put |
| NCR VOYIX CORPORATION | 62886E108 | COM | 1,500 | $47,000 | thousands by filing date | put |
| EXTREME NETWORKS INC | 30226D106 | COM | 6,500 | $47,000 | thousands by filing date | put |
| CALIX INC | 13100M509 | COM | 7,352 | $47,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 5,306 | $47,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,213 | $47,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 1,345 | $47,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 15,000 | $47,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 975 | $47,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 6,823 | $47,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 5,235 | $47,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 5,377 | $47,000 | thousands by filing date | |
| AXONICS INC | 05465P101 | COM | 1,751 | $47,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 55,200 | $47,000 | thousands by filing date | put |
| LIVENT CORP | 53814L108 | COM | 6,900 | $46,000 | thousands by filing date | put |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 11,874 | $46,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 3,402 | $46,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 1,729 | $46,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 62,000 | $46,000 | thousands by filing date | principal |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 12,352 | $46,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 239,500 | $46,000 | thousands by filing date | call |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 4,158 | $45,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 5,788 | $45,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U101 | COM | 2,814 | $45,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 2,331 | $45,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 8,100 | $45,000 | thousands by filing date | call |
| RADWARE LTD | M81873107 | COMMON STOCK | 1,870 | $45,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 474 | $45,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 1,626 | $45,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 2,276 | $45,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 12,200 | $45,000 | thousands by filing date | put |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 45,000 | $45,000 | thousands by filing date | principal |
| SENTINEL ENERGY SVCS INC | 81728P113 | *W EXP 11/02/202 | 112,000 | $45,000 | thousands by filing date | call |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 9,000 | $44,000 | thousands by filing date | call |
| CALAMOS DY COM NPV | 12811V105 | COM | 2,200 | $44,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 2,760 | $44,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 700 | $44,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 5,529 | $44,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 3,900 | $44,000 | thousands by filing date | call |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 7,214 | $44,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 21,000 | $44,000 | thousands by filing date | principal |
| REGALWOOD GLOBAL ENERGY LTD | G74760128 | *W EXP 12/05/202 | 77,000 | $44,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 32,300 | $43,000 | thousands by filing date | put |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 19,722 | $43,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 749 | $43,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 8,300 | $43,000 | thousands by filing date | call |
| BYLINE BANCORP INC | 124411109 | COM | 2,423 | $43,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 2,500 | $43,000 | thousands by filing date | call |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 825 | $43,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 1,200 | $43,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 2,400 | $43,000 | thousands by filing date | put |
| AMERESCO INC | 02361E108 | CL A | 2,685 | $43,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 1,300 | $43,000 | thousands by filing date | put |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 949 | $43,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 13,167 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 664 | $43,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 1,199 | $43,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 4,400 | $43,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 803 | $43,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 9,471 | $43,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 1,366 | $43,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 496 | $42,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 1,245 | $42,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 1,628 | $42,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 500 | $42,000 | thousands by filing date | put |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 900 | $42,000 | thousands by filing date | call |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 451 | $42,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 13,701 | $42,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 2,507 | $42,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 6,953 | $42,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 2,948 | $42,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 752 | $42,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,937 | $42,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 18,400 | $42,000 | thousands by filing date | put |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 10,923 | $42,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 3,000 | $42,000 | thousands by filing date | put |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 8,900 | $42,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 15,566 | $42,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 4,133 | $42,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 872 | $41,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 30,700 | $41,000 | thousands by filing date | call |
| INGREDION INC COM | 457187102 | Stock | 500 | $41,000 | thousands by filing date | put |
| CERUS CORP | 157085101 | COM | 8,000 | $41,000 | thousands by filing date | call |
| PROTO LABS INC | 743713109 | COM | 400 | $41,000 | thousands by filing date | put |
| GOGO INC | 38046C109 | COM | 6,800 | $41,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 367 | $41,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 400 | $41,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 1,305 | $41,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 5,842 | $41,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 2,347 | $41,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 3,429 | $41,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,665 | $41,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 2,025 | $41,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,650 | $41,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 6,112 | $41,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 2,110 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 1,479 | $41,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 538 | $40,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 1,100 | $40,000 | thousands by filing date | call |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 13,712 | $40,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 2,731 | $40,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 3,381 | $40,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 1,229 | $40,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,807 | $40,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 1,093 | $40,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 3,130 | $40,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,762 | $40,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 7,457 | $40,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 7,404 | $40,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,321 | $40,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 25,617 | $40,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 4,191 | $39,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 1,085 | $39,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 3,058 | $39,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 900 | $39,000 | thousands by filing date | put |
| INTERPUBLIC GROUP COS | 460690100 | COM | 1,800 | $39,000 | thousands by filing date | put |
| BJS RESTAURANTS INC | 09180C106 | COM | 1,000 | $39,000 | thousands by filing date | call |
| RBB BANCORP | 74930B105 | COMMON STOCK | 1,973 | $39,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 5,200 | $39,000 | thousands by filing date | put |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 1,402 | $39,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,379 | $39,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 77,553 | $39,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,295 | $39,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 2,100 | $39,000 | thousands by filing date | call |
| EROS INTL PLC | G3788M114 | SHS NEW | 20,466 | $39,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 6,215 | $39,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 1,509 | $39,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 29,710 | $39,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 7,000 | $39,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 3,180 | $39,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 3,722 | $39,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827110 | *W EXP 06/27/202 | 22,398 | $39,000 | thousands by filing date | call |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 1,500 | $39,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 547 | $38,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 6,010 | $38,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 155 | $38,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 4,587 | $38,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 2,551 | $38,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 1,666 | $38,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 949 | $38,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 3,175 | $38,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 600 | $38,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 22,441 | $38,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y401 | CMN | 525 | $38,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 6,900 | $38,000 | thousands by filing date | put |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 700 | $38,000 | thousands by filing date | call |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,999 | $38,000 | thousands by filing date | |
| LEVI STRAUSS & CO NEW CL A COM STK | 52736R102 | Stock | 1,952 | $37,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 29,297 | $37,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 1,219 | $37,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 1,942 | $37,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 1,317 | $37,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 3,931 | $37,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 800 | $37,000 | thousands by filing date | call |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 5,392 | $37,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 921 | $37,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 931 | $37,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 7,800 | $37,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 1,515 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 380 | $37,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 3,586 | $37,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 11,100 | $37,000 | thousands by filing date | put |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 7,500 | $37,000 | thousands by filing date | call |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 43,600 | $37,000 | thousands by filing date | call |
| RTI BIOLOGICS INC | 74975N105 | COM | 13,104 | $37,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 60,221 | $37,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 14,513 | $37,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 1,200 | $36,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 400 | $36,000 | thousands by filing date | put |
| CADIZ INC | 127537207 | COM NEW | 2,880 | $36,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 3,376 | $36,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 2,295 | $36,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 1,300 | $36,000 | thousands by filing date | put |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 2,420 | $36,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 5,617 | $36,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 910 | $36,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 997 | $36,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 1,275 | $36,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 893 | $36,000 | thousands by filing date | |
| PACER TRENDPILOT 100 ETF | 69374H303 | ETF | 1,000 | $36,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 10,600 | $36,000 | thousands by filing date | call |
| DASEKE INC | 23753F107 | COM | 14,471 | $36,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 8,675 | $36,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 985 | $36,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 3,597 | $36,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 18,000 | $36,000 | thousands by filing date | principal |
| MIDDLEBYCORP | 596278101 | STOK | 300 | $35,000 | thousands by filing date | put |
| DYNATRACE INC COM NEW | 268150109 | Stock | 1,889 | $35,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 300 | $35,000 | thousands by filing date | call |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 500 | $35,000 | thousands by filing date | call |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 1,964 | $35,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 778 | $35,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HLDG PL | g8060n102 | SHS | 700 | $35,000 | thousands by filing date | call |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 185 | $35,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 2,207 | $35,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 2,855 | $35,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 1,005 | $35,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 1,502 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 787 | $35,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 14,989 | $35,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 14,500 | $35,000 | thousands by filing date | put |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 2,211 | $35,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 18,100 | $35,000 | thousands by filing date | call |
| NOVAVAX INC | 670002AB0 | NOTE 3.750% 2/0 | 84,000 | $35,000 | thousands by filing date | principal |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 1,300 | $35,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 1,264 | $35,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 16,549 | $35,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 7,900 | $34,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 3,500 | $34,000 | thousands by filing date | call |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 676 | $34,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 265 | $34,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 1,950 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 600 | $34,000 | thousands by filing date | call |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 8,300 | $34,000 | thousands by filing date | put |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 3,000 | $34,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 2,740 | $34,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 2,032 | $34,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 1,367 | $34,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 3,572 | $34,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 1,632 | $34,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 215 | $34,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 1,295 | $34,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 1,700 | $34,000 | thousands by filing date | put |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,409 | $34,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 34,000 | $34,000 | thousands by filing date | principal |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 1,798 | $34,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 26,626 | $34,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 600 | $33,000 | thousands by filing date | put |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 1,991 | $33,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 700 | $33,000 | thousands by filing date | call |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 6,805 | $33,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 700 | $33,000 | thousands by filing date | put |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 2,322 | $33,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 5,396 | $33,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 2,377 | $33,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 1,200 | $33,000 | thousands by filing date | put |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 2,100 | $33,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 858 | $33,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,628 | $33,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 1,071 | $33,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 2,849 | $33,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 17,676 | $33,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 11,900 | $33,000 | thousands by filing date | call |
| PFENEX INC | 717071104 | COM | 3,959 | $33,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 1,395 | $33,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 3,298 | $33,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 3,308 | $33,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 1,464 | $33,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 676 | $32,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 209 | $32,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 2,800 | $32,000 | thousands by filing date | call |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 300 | $32,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 2,022 | $32,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 2,610 | $32,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 3,628 | $32,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 941 | $32,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 748 | $32,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 1,200 | $32,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 14,814 | $32,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 12,500 | $32,000 | thousands by filing date | call |
| ISRAMCO INC | 465141406 | COM | 263 | $32,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,984 | $32,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,221 | $32,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 1,000 | $32,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 28,543 | $32,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 5,135 | $32,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 2,035 | $32,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 1,144 | $32,000 | thousands by filing date | |
| GOLAR LNG LTD | 38046YAB7 | NOTE 2.750% 2/1 | 37,000 | $32,000 | thousands by filing date | principal |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 579 | $31,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 24,800 | $31,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 1,353 | $31,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 957 | $31,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 2,000 | $31,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 1,437 | $31,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 6,148 | $31,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 2,782 | $31,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 1,731 | $31,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 944 | $31,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 1,500 | $31,000 | thousands by filing date | put |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,073 | $31,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 1,295 | $31,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 2,934 | $31,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 13,368 | $31,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 2,900 | $31,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 16,400 | $31,000 | thousands by filing date | put |
| SIERRA WIRELESS INC | 826516106 | COM | 2,900 | $31,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 1,159 | $31,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 1,590 | $31,000 | thousands by filing date | |
| BOXWOOD MERGER CORP | 10319T200 | UNIT 11/26/2025 | 2,000 | $31,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 2,356 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 561 | $30,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 1,016 | $30,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 993 | $30,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 100 | $30,000 | thousands by filing date | call |
| INTERPUBLIC GROUP COS | 460690100 | COM | 1,400 | $30,000 | thousands by filing date | call |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 4,173 | $30,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 2,095 | $30,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 546 | $30,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 2,400 | $30,000 | thousands by filing date | call |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 4,445 | $30,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 1,377 | $30,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,374 | $30,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 1,637 | $30,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 1,022 | $30,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 5,649 | $30,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 600 | $30,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 9,500 | $30,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 1,010 | $30,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 2,418 | $30,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 9,800 | $30,000 | thousands by filing date | put |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 394 | $30,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 1,915 | $30,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,201 | $30,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 6,206 | $30,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 19,100 | $30,000 | thousands by filing date | put |
| HOWARD BANCORP INC COM | 442496105 | COM | 1,797 | $30,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,468 | $30,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 2,162 | $30,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 2,000 | $30,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 3,828 | $30,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 1,372 | $30,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 3,463 | $30,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 4,427 | $30,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 1,000 | $29,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 4,000 | $29,000 | thousands by filing date | |
| ARVINAS INC | 04335A105 | COM | 1,337 | $29,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 2,100 | $29,000 | thousands by filing date | put |
| SONOS INC | 83570H108 | COM | 2,225 | $29,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 1,700 | $29,000 | thousands by filing date | call |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 1,200 | $29,000 | thousands by filing date | put |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 2,032 | $29,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 14,800 | $29,000 | thousands by filing date | call |
| OXFORD INDS INC | 691497309 | COM | 400 | $29,000 | thousands by filing date | call |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,236 | $29,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-19-000126 | this filing | 2019-11-08 | acceptance time not in the bulk data set |