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 |
|---|---|---|---|---|---|---|
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 10,000 | $12,000 | thousands by filing date | principal |
| GRITSTONE BIO INC | 39868T105 | COM | 1,444 | $12,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 1,900 | $12,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 2,950 | $12,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 6,500 | $12,000 | thousands by filing date | put |
| Ampio Pharmaceuticals | 03209T109 | COM | 22,840 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 2,887 | $12,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 13,000 | $12,000 | thousands by filing date | principal |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 3,700 | $12,000 | thousands by filing date | put |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 700 | $12,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 384 | $12,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 12,000 | $12,000 | thousands by filing date | principal |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 1,156 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,040 | $12,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 1,364 | $12,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 3,481 | $12,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 330 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 84 | $11,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 4,300 | $11,000 | thousands by filing date | call |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,015 | $11,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 300 | $11,000 | thousands by filing date | put |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 3,206 | $11,000 | thousands by filing date | |
| PHREESIA INC | 71944F106 | COM | 472 | $11,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 4,103 | $11,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 2,006 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 445 | $11,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 508 | $11,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,124 | $11,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 1,237 | $11,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 300 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 200 | $11,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 433 | $11,000 | thousands by filing date | |
| HEALTH CATALYST INC | 42225T107 | COM | 374 | $11,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,639 | $11,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 582 | $11,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 3,000 | $11,000 | thousands by filing date | principal |
| LIVONGO HEALTH INC | 539183103 | COM | 670 | $11,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 11,000 | $11,000 | thousands by filing date | principal |
| SIERRA WIRELESS INC | 826516106 | COM | 1,000 | $11,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 1,320 | $11,000 | thousands by filing date | call |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 4,000 | $11,000 | thousands by filing date | call |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 800 | $11,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 384 | $11,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 568 | $11,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 1,000 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $11,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 7,454 | $11,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 4,797 | $11,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 578 | $11,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 1,180 | $11,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 200 | $10,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 3,124 | $10,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 700 | $10,000 | thousands by filing date | put |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 100 | $10,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,747 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 500 | $10,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 1,200 | $10,000 | thousands by filing date | put |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 684 | $10,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 1,142 | $10,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 4,700 | $10,000 | thousands by filing date | call |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 670 | $10,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 435 | $10,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 103 | $10,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 800 | $10,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 1,705 | $10,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 645 | $10,000 | thousands by filing date | |
| SHOCKWAVE MED INC | 82489T104 | COM | 328 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 450 | $10,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 580 | $10,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 674 | $10,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,180 | $10,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 946 | $10,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,533 | $10,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 519 | $10,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,532 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 172 | $10,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 550 | $10,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 253 | $10,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 682 | $10,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 941 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 300 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 207 | $10,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 580 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $10,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 2,199 | $10,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 12,685 | $10,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 1,024 | $10,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 1,174 | $10,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 1,245 | $10,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 718 | $10,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 6,945 | $10,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 4,692 | $10,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 6,000 | $10,000 | thousands by filing date | principal |
| LEAF GROUP LTD | 52177G102 | COM | 2,297 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 350 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 650 | $10,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 7,304 | $10,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 1,000 | $10,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 4,186 | $10,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 10,139 | $10,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 5,342 | $10,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 650 | $10,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 10,000 | $10,000 | thousands by filing date | principal |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 95 | $10,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 289 | $9,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 250 | $9,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 1,777 | $9,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 300 | $9,000 | thousands by filing date | put |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 847 | $9,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 600 | $9,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,947 | $9,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 650 | $9,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 2,383 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 150 | $9,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,400 | $9,000 | thousands by filing date | call |
| OCEANEERING INTL INC | 675232102 | COM | 700 | $9,000 | thousands by filing date | put |
| OCEANEERING INTL INC | 675232102 | COM | 700 | $9,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 309 | $9,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 407 | $9,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 400 | $9,000 | thousands by filing date | call |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 300 | $9,000 | thousands by filing date | call |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 1,804 | $9,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 481 | $9,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,510 | $9,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 515 | $9,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,046 | $9,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 692 | $9,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,027 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 700 | $9,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 357 | $9,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 3,800 | $9,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 250 | $9,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 3,050 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 200 | $9,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 2,500 | $9,000 | thousands by filing date | put |
| ADTRAN INC | 00738A106 | COMMON STOCK | 800 | $9,000 | thousands by filing date | put |
| EXPRESS INC | 30219E103 | COMMON STOCK | 2,500 | $9,000 | thousands by filing date | put |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 2,619 | $9,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 2,324 | $9,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 993 | $9,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 3,503 | $9,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 200 | $9,000 | thousands by filing date | put |
| RYB ED INC | 74979W101 | ADR | 1,449 | $9,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,106 | $9,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 3,556 | $9,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 1,900 | $9,000 | thousands by filing date | put |
| BRIGGS & STRATTON CORP | 109043109 | COM | 1,500 | $9,000 | thousands by filing date | put |
| Pimco Income Oppty Fund | 72202B100 | COM | 325 | $9,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $9,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 1,933 | $9,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 5,770 | $9,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 8,879 | $9,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 1,404 | $9,000 | thousands by filing date | put |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 668 | $9,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 1,504 | $9,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 2,500 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 10,000 | $9,000 | thousands by filing date | principal |
| ENSCO JERSEY FIN LTD | 29359WAB1 | NOTE 3.000% 1/3 | 13,000 | $9,000 | thousands by filing date | principal |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 6,000 | $9,000 | thousands by filing date | principal |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 290 | $8,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 697 | $8,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 8,843 | $8,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 1,168 | $8,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 5,400 | $8,000 | thousands by filing date | put |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 6,400 | $8,000 | thousands by filing date | put |
| AECOM COM | 00766T100 | Stock | 200 | $8,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 165 | $8,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 342 | $8,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 360 | $8,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 700 | $8,000 | thousands by filing date | call |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 100 | $8,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 322 | $8,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 772 | $8,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 3,800 | $8,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2,187 | $8,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 789 | $8,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 3,500 | $8,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 166 | $8,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 280 | $8,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,897 | $8,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 1,978 | $8,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 4,000 | $8,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 354 | $8,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 2,922 | $8,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 2,895 | $8,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 8,725 | $8,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 31,000 | $8,000 | thousands by filing date | call |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $8,000 | thousands by filing date | call |
| YRC WORLDWIDE INC | 984249607 | COM | 2,700 | $8,000 | thousands by filing date | put |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,944 | $8,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 5,393 | $8,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 365 | $8,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 2,518 | $8,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 892 | $8,000 | thousands by filing date | |
| AVEDRO INC | 05355N109 | COM | 386 | $8,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 1,490 | $8,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 6,242 | $8,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 860 | $8,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 1,699 | $8,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 6,471 | $8,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 4,142 | $8,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 1,300 | $7,000 | thousands by filing date | call |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 2,600 | $7,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 4,300 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 349 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 170 | $7,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 304 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 100 | $7,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 1,169 | $7,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 100 | $7,000 | thousands by filing date | put |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 433 | $7,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 500 | $7,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 1,672 | $7,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 600 | $7,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 605 | $7,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 800 | $7,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 215 | $7,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,347 | $7,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 648 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 125 | $7,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 941 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 65 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 126 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $7,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 588 | $7,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 2,734 | $7,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 2,433 | $7,000 | thousands by filing date | |
| SYNTHORX INC COM | 87167A103 | Stock | 450 | $7,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 3,652 | $7,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $7,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 800 | $7,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 7,000 | $7,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R117 | WARR | 5,064 | $7,000 | thousands by filing date | call |
| TIDEWATER INC NEW | 88642R125 | WARR | 5,431 | $7,000 | thousands by filing date | call |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 1,340 | $7,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 600 | $7,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 1,000 | $7,000 | thousands by filing date | principal |
| YRC WORLDWIDE INC | 984249607 | COM | 2,200 | $7,000 | thousands by filing date | call |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,400 | $7,000 | thousands by filing date | call |
| SHILOH INDUSTRIES INC | 824543102 | COM | 1,663 | $7,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 893 | $7,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 6,000 | $7,000 | thousands by filing date | principal |
| Pareteum Corporation | 69946T207 | COM | 5,336 | $7,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 6,000 | $7,000 | thousands by filing date | principal |
| MENLO THERAPEUTICS INC | 586858102 | COM | 1,472 | $7,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 1,124 | $7,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 822 | $7,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 1,851 | $7,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 340 | $7,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 1,934 | $6,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 49 | $6,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 678 | $6,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 296 | $6,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 574 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 200 | $6,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,000 | $6,000 | thousands by filing date | put |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,100 | $6,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 403 | $6,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 1,000 | $6,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 200 | $6,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 400 | $6,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 300 | $6,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 800 | $6,000 | thousands by filing date | put |
| VUZIX CORP | 92921W300 | COM NEW | 2,656 | $6,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 339 | $6,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 2,100 | $6,000 | thousands by filing date | call |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 1,308 | $6,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,600 | $6,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,752 | $6,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 395 | $6,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 443 | $6,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 1,400 | $6,000 | thousands by filing date | call |
| Vaneck Long Muni ETF | 92189F536 | ETF | 275 | $6,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 269 | $6,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 1,023 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 237 | $6,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 85 | $6,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 205 | $6,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 558 | $6,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 391 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,408 | $6,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 11 | $6,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 326 | $6,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 831 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 84 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 200 | $6,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 850 | $6,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 1,700 | $6,000 | thousands by filing date | call |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 4,530 | $6,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 2,324 | $6,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 200 | $6,000 | thousands by filing date | call |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 579 | $6,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 249 | $6,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 5,692 | $6,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 5,767 | $6,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 11,649 | $6,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 3,382 | $6,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 777 | $6,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 968 | $6,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 1,344 | $6,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 5,000 | $6,000 | thousands by filing date | principal |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 6,000 | $6,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 3,000 | $6,000 | thousands by filing date | principal |
| APTINYX INC | 03836N103 | COM | 1,661 | $6,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 3,206 | $6,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 320 | $6,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 8,843 | $6,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 503 | $6,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 295 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 81 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 100 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 200 | $5,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,908 | $5,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 113 | $5,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 400 | $5,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 1,564 | $5,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 350 | $5,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 400 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $5,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 864 | $5,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 432 | $5,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 400 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 200 | $5,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 450 | $5,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 200 | $5,000 | thousands by filing date | call |
| BROOKDALE SR LIVING INC | 112463104 | COM | 600 | $5,000 | thousands by filing date | call |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 1,486 | $5,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 86 | $5,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 362 | $5,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 6,663 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E123 | S&P SMLCP INDL | 70 | $5,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 930 | $5,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 1,283 | $5,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 205 | $5,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 211 | $5,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 2,382 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 271 | $5,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,100 | $5,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 61 | $5,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 1,000 | $5,000 | thousands by filing date | put |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 120 | $5,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 767 | $5,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 1,131 | $5,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 3,370 | $5,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 4,500 | $5,000 | thousands by filing date | call |
| INVESCO | 46090C305 | EXCHANGE TRADED | 125 | $5,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 361 | $5,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 749 | $5,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 2,264 | $5,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 2,830 | $5,000 | thousands by filing date | |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 150 | $5,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 1,300 | $5,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 389 | $5,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 5,784 | $5,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 2,697 | $5,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 7,200 | $5,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 917 | $5,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,700 | $5,000 | thousands by filing date | put |
| NEWLINK GENETICS CORP | 651511107 | COM | 3,283 | $5,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 204 | $5,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 905 | $5,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 2,131 | $5,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 843 | $5,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 4,542 | $5,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 1,185 | $5,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 3,000 | $5,000 | thousands by filing date | principal |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 3,000 | $5,000 | thousands by filing date | principal |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 387 | $5,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,605 | $5,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 9,740 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,000 | $5,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 1,307 | $5,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 2,333 | $5,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 567 | $5,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 1,562 | $5,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 189 | $5,000 | thousands by filing date | principal |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 500 | $4,000 | thousands by filing date | call |
| NEW MTN FIN CORP | 647551100 | COM | 290 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 90 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 55 | $4,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 223 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 65 | $4,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 500 | $4,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 253 | $4,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 400 | $4,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 200 | $4,000 | thousands by filing date | call |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 596 | $4,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 312 | $4,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 522 | $4,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 104 | $4,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 178 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 103 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 150 | $4,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 586 | $4,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 609 | $4,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 2,321 | $4,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 7,200 | $4,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 1,144 | $4,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,000 | $4,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 2,200 | $4,000 | thousands by filing date | call |
| MORPHIC HLDG INC | 61775R105 | COM | 220 | $4,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 330 | $4,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 155 | $4,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 1,900 | $4,000 | thousands by filing date | put |
| CORTEXYME INC | 22053A107 | COM | 143 | $4,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 207 | $4,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 1,500 | $4,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 122 | $4,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 2,450 | $4,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 145 | $4,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,714 | $4,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 2,300 | $4,000 | thousands by filing date | call |
| EXONE CO | 302104104 | COM | 500 | $4,000 | thousands by filing date | put |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 14,500 | $4,000 | thousands by filing date | put |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 118 | $4,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 14,915 | $4,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 86 | $4,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 232 | $4,000 | thousands by filing date | |
| INVSC RAFI US 1500 SML MID ETF | 46137V209 | ETF | 115 | $4,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 507 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 170 | $4,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406152 | COM VAR VTG | 2,700 | $4,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 599 | $4,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 465 | $4,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 49 | $4,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 3,180 | $4,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 1,064 | $4,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 2,276 | $4,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 234 | $4,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 576 | $3,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 500 | $3,000 | thousands by filing date | put |
| UGI CORP NEW COM | 902681105 | Stock | 63 | $3,000 | thousands by filing date | put |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 1,000 | $3,000 | thousands by filing date | put |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 144 | $3,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 887 | $3,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 69 | $3,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 100 | $3,000 | thousands by filing date | call |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 1,300 | $3,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 113 | $3,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 200 | $3,000 | thousands by filing date | call |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 200 | $3,000 | thousands by filing date | put |
| ENVISTA HOLDINGS CORPORATION | 29415F104 | COM | 100 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 90 | $3,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 129 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 54 | $3,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 162 | $3,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 376 | $3,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 100 | $3,000 | thousands by filing date | call |
| MARINEMAX INC | 567908108 | COM | 200 | $3,000 | thousands by filing date | put |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 142 | $3,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 192 | $3,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 186 | $3,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 23 | $3,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | put |
| VALUE LINE INC | 920437100 | COMMON STOCK | 148 | $3,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 417 | $3,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 163 | $3,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 398 | $3,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 227 | $3,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 295 | $3,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 100 | $3,000 | thousands by filing date | put |
| COMPUGEN LTD | M25722105 | ORD | 700 | $3,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 589 | $3,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,121 | $3,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 202 | $3,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 200 | $3,000 | thousands by filing date | put |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 147 | $3,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 700 | $3,000 | thousands by filing date | put |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 1,748 | $3,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 500 | $3,000 | thousands by filing date | put |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 500 | $3,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 4,447 | $3,000 | thousands by filing date | call |
| Ramaco Resources Inc | 75134P303 | COM CL B | 879 | $3,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 203 | $3,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 972 | $3,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 706 | $3,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 1,344 | $3,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 749 | $3,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 1,300 | $3,000 | thousands by filing date | call |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,184 | $3,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 416 | $3,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 1,200 | $3,000 | thousands by filing date | call |
| FNCB BANCORP INC | 302578109 | COM | 429 | $3,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 500 | $3,000 | thousands by filing date | put |
| EXONE CO | 302104104 | COM | 300 | $3,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,634 | $3,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 5,200 | $3,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 212 | $3,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 898 | $3,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 910 | $3,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,000 | $3,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 60 | $3,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 1,150 | $3,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 3,000 | $3,000 | thousands by filing date | principal |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 1,621 | $3,000 | 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 |