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 |
|---|---|---|---|---|---|---|
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 9,259 | $29,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 7,300 | $29,000 | thousands by filing date | put |
| CENTURY CASINOS INC | 156492100 | COM | 3,749 | $29,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 1,042 | $29,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 1,173 | $29,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 7,919 | $29,000 | thousands by filing date | |
| Berry Corp | 08579X101 | Common Stock | 3,058 | $29,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 4,821 | $29,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 1,156 | $29,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 2,500 | $29,000 | thousands by filing date | call |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 3,147 | $29,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 636 | $29,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,257 | $29,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 2,939 | $29,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,663 | $29,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 207 | $28,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 489 | $28,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 1,707 | $28,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 6,148 | $28,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 579 | $28,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 5,506 | $28,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 526 | $28,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 396 | $28,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,143 | $28,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 860 | $28,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 11,362 | $28,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 2,314 | $28,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 1,105 | $28,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 599 | $28,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 884 | $28,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 2,883 | $28,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 30,000 | $28,000 | thousands by filing date | principal |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 6,491 | $28,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,910 | $28,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 2,527 | $28,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 4,166 | $28,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 1,059 | $28,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 1,326 | $28,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 5,473 | $28,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 927 | $28,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 400 | $27,000 | thousands by filing date | put |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 3,246 | $27,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 2,580 | $27,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,738 | $27,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 1,648 | $27,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 1,203 | $27,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 2,859 | $27,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 1,844 | $27,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,618 | $27,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 1,154 | $27,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,159 | $27,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 3,588 | $27,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 9,700 | $27,000 | thousands by filing date | put |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 6,106 | $27,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 199 | $26,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 3,176 | $26,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 1,949 | $26,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 1,274 | $26,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 3,310 | $26,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 3,617 | $26,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 684 | $26,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,322 | $26,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 300 | $26,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 6,546 | $26,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 1,802 | $26,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,248 | $26,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 2,198 | $26,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 387 | $26,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 1,000 | $26,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 4,200 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 251 | $26,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 1,922 | $26,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 1,299 | $26,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,936 | $26,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 1,712 | $26,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 4,050 | $26,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 1,001 | $26,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 1,000 | $26,000 | thousands by filing date | call |
| TRECORA RES | 894648104 | COM | 2,874 | $26,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 240 | $25,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 511 | $25,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 715 | $25,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 1,237 | $25,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,800 | $25,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 793 | $25,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 921 | $25,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 930 | $25,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 1,535 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,104 | $25,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 650 | $25,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 1,408 | $25,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 2,087 | $25,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 2,158 | $25,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 27,919 | $25,000 | thousands by filing date | |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 25,000 | $25,000 | thousands by filing date | principal |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 3,037 | $25,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 760 | $25,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 1,800 | $25,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 30,352 | $25,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 4,150 | $25,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 2,964 | $25,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 806 | $25,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $25,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 2,816 | $25,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 11,700 | $25,000 | thousands by filing date | put |
| Fidelity High Dividend ETF | 316092840 | SHS | 800 | $24,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 696 | $24,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 1,148 | $24,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 1,356 | $24,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 616 | $24,000 | thousands by filing date | |
| SI BONE INC | 825704109 | COM | 1,346 | $24,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 1,051 | $24,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 1,662 | $24,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 3,556 | $24,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 1,000 | $24,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 1,877 | $24,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 384 | $24,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,357 | $24,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,094 | $24,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 1,202 | $24,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,012 | $24,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,186 | $24,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 2,258 | $24,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 456 | $24,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 2,200 | $24,000 | thousands by filing date | put |
| STRATUS PPTYS INC | 863167201 | COM NEW | 822 | $24,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 767 | $24,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 884 | $24,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 1,365 | $24,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 759 | $24,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 645 | $24,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 7,024 | $24,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 10,700 | $24,000 | thousands by filing date | call |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 2,777 | $24,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 860 | $24,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 665 | $24,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 568 | $24,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 2,039 | $24,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,612 | $24,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 500 | $23,000 | thousands by filing date | put |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 4,219 | $23,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 797 | $23,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 800 | $23,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,054 | $23,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 2,600 | $23,000 | thousands by filing date | put |
| ISHARES TR | 464287846 | DOW JONES US ETF | 158 | $23,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,335 | $23,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 1,480 | $23,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 1,964 | $23,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 1,049 | $23,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 1,000 | $23,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 440 | $23,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 10,100 | $23,000 | thousands by filing date | call |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 700 | $23,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 9,600 | $23,000 | thousands by filing date | call |
| JERNIGAN CAP INC | 476405105 | COM | 1,181 | $23,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 4,300 | $23,000 | thousands by filing date | put |
| MEDALLIA INC | 584021109 | COM | 833 | $23,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 7,135 | $23,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 11,855 | $23,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 17,211 | $23,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 793 | $23,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 1,041 | $23,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,177 | $23,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 6,893 | $23,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 1,313 | $23,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17324XSN1 | MKTS HLDGS MTNF 9/1 | 25,000 | $23,000 | thousands by filing date | principal |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 630 | $22,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 571 | $22,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 881 | $22,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 400 | $22,000 | thousands by filing date | call |
| GENTEX CORP COM | 371901109 | Stock | 800 | $22,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 990 | $22,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 398 | $22,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 300 | $22,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 550 | $22,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 200 | $22,000 | thousands by filing date | call |
| DOMO INC | 257554105 | COM CL B | 1,351 | $22,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 1,084 | $22,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,006 | $22,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 661 | $22,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 2,926 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 1,400 | $22,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 2,190 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 400 | $22,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 1,052 | $22,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 3,874 | $22,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,837 | $22,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,720 | $22,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,416 | $22,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 25,000 | $22,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 8,000 | $22,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 2,500 | $22,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,009 | $22,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 18,402 | $22,000 | thousands by filing date | |
| BRIDGEBIO PHARMA INC | 10806X102 | COM | 1,004 | $21,000 | thousands by filing date | |
| GROCERY OUTLET HLDG CORP COM | 39874R101 | Stock | 621 | $21,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 2,606 | $21,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 5,052 | $21,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 400 | $21,000 | thousands by filing date | put |
| BRUNSWICK CORP | 117043109 | COM | 400 | $21,000 | thousands by filing date | call |
| OHIO VY BANC CORP | 677719106 | COM | 567 | $21,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 5,331 | $21,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 846 | $21,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V332 | S&P500 EQL HLT | 109 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 230 | $21,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 275 | $21,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 1,200 | $21,000 | thousands by filing date | put |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 377 | $21,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,431 | $21,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,500 | $21,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 3,581 | $21,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 1,288 | $21,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576101 | COMMON STOCK | 995 | $21,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 1,507 | $21,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 4,512 | $21,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 1,386 | $21,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 4,122 | $21,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 6,612 | $21,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 4,310 | $21,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 1,100 | $21,000 | thousands by filing date | put |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 2,300 | $21,000 | thousands by filing date | put |
| BENEFITFOCUS INC | 08180D106 | COM | 897 | $21,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 1,256 | $21,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 1,929 | $21,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 4,036 | $21,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 10,207 | $21,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,770 | $21,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,220 | $21,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 400 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 396 | $20,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 6,700 | $20,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 295 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 625 | $20,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 2,559 | $20,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 500 | $20,000 | thousands by filing date | call |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 7,335 | $20,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 1,227 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 1,508 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $20,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,537 | $20,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 1,972 | $20,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 1,059 | $20,000 | thousands by filing date | |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 17,000 | $20,000 | thousands by filing date | principal |
| NXP SEMICONDUCTORS N V | 62952QAB6 | NOTE 1.000%12/0 | 18,000 | $20,000 | thousands by filing date | principal |
| OPTINOSE INC | 68404V100 | COM | 2,790 | $20,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 2,613 | $20,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,000 | $20,000 | thousands by filing date | call |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 1,488 | $20,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 10,017 | $20,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 31,800 | $20,000 | thousands by filing date | put |
| TRANSENTERIX INC | 89366M201 | COM NEW | 32,700 | $20,000 | thousands by filing date | call |
| WEYCO GROUP INC COM | 962149100 | Stock | 841 | $19,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 700 | $19,000 | thousands by filing date | call |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 1,322 | $19,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 2,476 | $19,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 2,416 | $19,000 | thousands by filing date | |
| BANK FIRST CORP | 06211J100 | COM | 291 | $19,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 4,361 | $19,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,500 | $19,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 300 | $19,000 | thousands by filing date | put |
| RYERSON HLDG CORP | 783754104 | COM | 2,202 | $19,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 5,256 | $19,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,316 | $19,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,333 | $19,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 458 | $19,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 638 | $19,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 1,246 | $19,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 337 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,002 | $19,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 749 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 453 | $19,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 2,153 | $19,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | put |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 1,817 | $19,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 4,722 | $19,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 1,939 | $19,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 4,262 | $19,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,015 | $19,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 2,594 | $19,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 5,700 | $19,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 3,100 | $19,000 | thousands by filing date | |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 619 | $18,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 1,184 | $18,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 514 | $18,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 600 | $18,000 | thousands by filing date | put |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 600 | $18,000 | thousands by filing date | call |
| OXFORD LANE CAP CORP | 691543102 | COM | 1,900 | $18,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 2,100 | $18,000 | thousands by filing date | call |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 400 | $18,000 | thousands by filing date | put |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 1,621 | $18,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 871 | $18,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,548 | $18,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 702 | $18,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,000 | $18,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,140 | $18,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,677 | $18,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 3,000 | $18,000 | thousands by filing date | call |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 2,211 | $18,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 200 | $18,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 441 | $18,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 5,574 | $18,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,397 | $18,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 3,500 | $18,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 3,115 | $18,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 5,000 | $18,000 | thousands by filing date | call |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 6,115 | $18,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 4,144 | $18,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 1,147 | $18,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 1,304 | $18,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 150 | $18,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E855 | INSIGHTSHARES | 675 | $18,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 554 | $17,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 800 | $17,000 | thousands by filing date | call |
| ADMA BIOLOGICS INC | 000899104 | COM | 3,681 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 439 | $17,000 | thousands by filing date | |
| ABRDN PRECIOUS METALS BASKET | 003263100 | PHYSCL PRECS MET | 235 | $17,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 438 | $17,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 600 | $17,000 | thousands by filing date | call |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 766 | $17,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 5,080 | $17,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 865 | $17,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 2,194 | $17,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 1,753 | $17,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 771 | $17,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 295 | $17,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 1,401 | $17,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 3,809 | $17,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 450 | $17,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 537 | $17,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 901 | $17,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 11,216 | $17,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 7,756 | $17,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,178 | $17,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 4,314 | $17,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 1,050 | $17,000 | thousands by filing date | put |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,200 | $17,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 1,300 | $17,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 11,000 | $17,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 11,200 | $17,000 | thousands by filing date | call |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 2,241 | $17,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,401 | $17,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 722 | $17,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,203 | $17,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 850 | $17,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 100 | $16,000 | thousands by filing date | call |
| LOVESAC COMPANY | 54738L109 | COM | 862 | $16,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 100 | $16,000 | thousands by filing date | put |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 1,214 | $16,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V399 | S&P500 BUY WRT | 750 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 300 | $16,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 472 | $16,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 760 | $16,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 1,310 | $16,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 149 | $16,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 953 | $16,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 809 | $16,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,470 | $16,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,050 | $16,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 9,754 | $16,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 525 | $16,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 1,882 | $16,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 3,619 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 390 | $16,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 16,685 | $16,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 9,278 | $16,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 800 | $16,000 | thousands by filing date | call |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 4,736 | $16,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 13,683 | $16,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 343 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J304 | BULSHS 2019 CB | 775 | $16,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 618 | $16,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 11,641 | $16,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 1,963 | $16,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 700 | $15,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 100 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 300 | $15,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 100 | $15,000 | thousands by filing date | call |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,050 | $15,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,458 | $15,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 527 | $15,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 1,400 | $15,000 | thousands by filing date | call |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 15,598 | $15,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 410 | $15,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 660 | $15,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 943 | $15,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 1,142 | $15,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 946 | $15,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 3,383 | $15,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 4,007 | $15,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 18,000 | $15,000 | thousands by filing date | principal |
| RINGCENTRAL INC | 76680RAD9 | NOTE 3/1 | 9,000 | $15,000 | thousands by filing date | principal |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $15,000 | thousands by filing date | principal |
| RIGNET INC | 766582100 | COM | 1,948 | $15,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,886 | $15,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 834 | $15,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 1,158 | $15,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 2,214 | $15,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $15,000 | thousands by filing date | principal |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 122 | $14,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 1,463 | $14,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 700 | $14,000 | thousands by filing date | put |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 500 | $14,000 | thousands by filing date | call |
| SERVICE CORP INTL COM | 817565104 | Stock | 300 | $14,000 | thousands by filing date | put |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 1,448 | $14,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 1,000 | $14,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 914 | $14,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 816 | $14,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 700 | $14,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 803 | $14,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,467 | $14,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 3,478 | $14,000 | thousands by filing date | put |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 6,800 | $14,000 | thousands by filing date | put |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,155 | $14,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 3,173 | $14,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,322 | $14,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,221 | $14,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 1,290 | $14,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 400 | $14,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 1,625 | $14,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 8,452 | $14,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,313 | $14,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,089 | $14,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 1,320 | $14,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 695 | $14,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,100 | $14,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 978 | $14,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 5,000 | $14,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 2,912 | $14,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 1,536 | $14,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,726 | $14,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,000 | $14,000 | thousands by filing date | |
| WATFORD HOLDINGS LTD | G94787101 | SHS | 508 | $14,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 593 | $14,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 451 | $13,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 1,640 | $13,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 772 | $13,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 943 | $13,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 198 | $13,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,400 | $13,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,000 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 434 | $13,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 848 | $13,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 918 | $13,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 200 | $13,000 | thousands by filing date | put |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 76 | $13,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 1,725 | $13,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT INDUSTRIALS MOMENTUM ETF | 46137V845 | ETF | 200 | $13,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 633 | $13,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 267 | $13,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,106 | $13,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,090 | $13,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 2,297 | $13,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 2,000 | $13,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,350 | $13,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 678 | $13,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 4,745 | $13,000 | thousands by filing date | |
| ASSETMARK FINL HLDGS INC | 04546L106 | COM | 504 | $13,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 1,250 | $13,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 670 | $13,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 206 | $13,000 | thousands by filing date | |
| WORKDAY INC | 98138HAF8 | NOTE 0.250%10/0 | 10,000 | $13,000 | thousands by filing date | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 4,000 | $13,000 | thousands by filing date | principal |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 360 | $13,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 5,700 | $13,000 | thousands by filing date | put |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 1,919 | $13,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 10,399 | $13,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 500 | $13,000 | thousands by filing date | put |
| EVOGENE LTD | M4119S104 | SHS | 7,976 | $13,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 3,625 | $13,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 10,200 | $13,000 | thousands by filing date | call |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 7,928 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 176 | $12,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 200 | $12,000 | thousands by filing date | |
| PALOMAR HLDGS INC COM | 69753M105 | Stock | 291 | $12,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 113 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 271 | $12,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 697 | $12,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 648 | $12,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 2,997 | $12,000 | thousands by filing date | call |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 426 | $12,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 1,107 | $12,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 7,013 | $12,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P870 | NUVEEN ESG US | 476 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 389 | $12,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 1,201 | $12,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 13,000 | $12,000 | thousands by filing date | principal |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,130 | $12,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 270 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 300 | $12,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 5,100 | $12,000 | thousands by filing date | call |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,000 | $12,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 1,783 | $12,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 5,400 | $12,000 | thousands by filing date | call |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 3,360 | $12,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 10,000 | $12,000 | thousands by filing date | principal |
| SIERRA WIRELESS INC | 826516106 | COM | 1,100 | $12,000 | thousands by filing date | call |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 13,000 | $12,000 | thousands by filing date | principal |
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 |