13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-12, with 7,740 holding rows worth $138,121,665,000.
- Accession
- 0000831001-20-000026
- Filer
- CIK 831001
- Filed
- 2020-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 16,224 entries on the cover page, a total value of $138,121,665,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $138,121,665,000 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 |
|---|---|---|---|---|---|---|
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 3,100 | $75,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 31,000 | $75,000 | thousands by filing date | principal |
| PAYSIGN INC | 70451A104 | COM | 7,312 | $74,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 26,205 | $74,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 4,632 | $74,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 17,888 | $74,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 9,096 | $74,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 3,083 | $74,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 2,885 | $74,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 1,500 | $74,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 3,500 | $74,000 | thousands by filing date | put |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 6,179 | $74,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 8,533 | $74,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 3,671 | $74,000 | thousands by filing date | |
| LIVONGO HEALTH INC | 539183103 | COM | 2,958 | $74,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 20,300 | $74,000 | thousands by filing date | call |
| SCORPIO BULKERS INC | Y7546A122 | COM | 11,488 | $74,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 1,480 | $73,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 543 | $73,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 2,151 | $73,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 22,169 | $73,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A804 | TOTAL RETURN | 1,340 | $73,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 22,230 | $73,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 3,988 | $73,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 10,109 | $73,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 1,237 | $72,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 300 | $72,000 | thousands by filing date | put |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 500 | $72,000 | thousands by filing date | put |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 500 | $72,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 1,351 | $72,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 1,110 | $72,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 5,242 | $72,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 2,347 | $72,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 10,800 | $72,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25460E166 | DAILY JR GLD MIN | 860 | $72,000 | thousands by filing date | call |
| CAMTEK LTD ORD | M20791105 | Stock | 6,543 | $71,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 54,787 | $71,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 3,084 | $71,000 | thousands by filing date | |
| SI BONE INC | 825704109 | COM | 3,282 | $71,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 5,348 | $71,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,431 | $71,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,421 | $71,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 2,078 | $71,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 3,187 | $71,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 23,076 | $71,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 8,037 | $71,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 6,879 | $71,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 10,236 | $71,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 842 | $70,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 3,600 | $70,000 | thousands by filing date | put |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 1,472 | $70,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 4,638 | $70,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 1,433 | $70,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 3,283 | $70,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 648 | $70,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,381 | $70,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 1,722 | $70,000 | thousands by filing date | |
| HEALTH CATALYST INC | 42225T107 | COM | 2,015 | $70,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 1,161 | $70,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 8,623 | $70,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 5,800 | $69,000 | thousands by filing date | put |
| NVE CORP COM NEW | 629445206 | Stock | 973 | $69,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 2,361 | $69,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 8,535 | $69,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 6,500 | $69,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 5,093 | $69,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 4,546 | $69,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 10,276 | $69,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 6,231 | $69,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 1,842 | $69,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 6,200 | $69,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E107 | EQUAL WEGT 0-30 | 2,000 | $69,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 8,159 | $69,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 53,000 | $69,000 | thousands by filing date | principal |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,669 | $68,000 | thousands by filing date | |
| Vanguard ESG U.S. Stock ETF | 921910733 | SHS | 1,200 | $68,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 8,064 | $68,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 1,405 | $68,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 1,100 | $68,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 1,430 | $68,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 975 | $68,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 2,797 | $68,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 16,261 | $68,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 14,570 | $68,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 850 | $67,000 | thousands by filing date | |
| ARCOSA INC COM | 039653100 | Stock | 1,500 | $67,000 | thousands by filing date | call |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 441 | $67,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 3,100 | $67,000 | thousands by filing date | put |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 1,100 | $67,000 | thousands by filing date | put |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 8,327 | $67,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 2,837 | $67,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 3,883 | $67,000 | thousands by filing date | |
| PHATHOM PHARMACEUTICALS INC | 71722W107 | COMMON STOCK | 2,158 | $67,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 2,339 | $67,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 28,598 | $67,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 3,118 | $66,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 4,836 | $66,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 228 | $66,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 4,969 | $66,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 21,700 | $66,000 | thousands by filing date | call |
| EXONE CO | 302104104 | COM | 8,900 | $66,000 | thousands by filing date | call |
| PFENEX INC | 717071104 | COM | 6,012 | $66,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 2,928 | $66,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC COM | 28414H103 | Stock | 2,200 | $65,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 3,636 | $65,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 600 | $65,000 | thousands by filing date | put |
| WILLDAN GROUP INC | 96924N100 | COM | 2,051 | $65,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 5,852 | $65,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 4,064 | $65,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 4,700 | $65,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 73,500 | $65,000 | thousands by filing date | put |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 3,983 | $65,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 23,400 | $65,000 | thousands by filing date | call |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 4,123 | $65,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 1,679 | $65,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 3,100 | $64,000 | thousands by filing date | put |
| PROGYNY INC COM | 74340E103 | Stock | 2,327 | $64,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 4,697 | $64,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 1,918 | $64,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 4,342 | $64,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 4,081 | $64,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 15,145 | $64,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 1,600 | $64,000 | thousands by filing date | put |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 13,308 | $64,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 3,816 | $64,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 2,256 | $63,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 2,001 | $63,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 600 | $63,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V340 | S&P500 EQL FIN | 1,350 | $63,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 5,606 | $63,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 2,400 | $63,000 | thousands by filing date | call |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 3,300 | $63,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 4,262 | $63,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 13,194 | $63,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 2,756 | $63,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 1,644 | $62,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 1,400 | $62,000 | thousands by filing date | put |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 6,315 | $62,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 4,272 | $62,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 1,531 | $62,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 5,415 | $62,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 9,149 | $62,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 2,503 | $62,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 2,156 | $62,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 6,300 | $62,000 | thousands by filing date | call |
| ICAD INC | 44934S206 | COM NEW | 7,940 | $62,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 12,100 | $62,000 | thousands by filing date | put |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 51,000 | $62,000 | thousands by filing date | principal |
| CONFORMIS INC | 20717E101 | COM | 41,361 | $62,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 500 | $61,000 | thousands by filing date | put |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 3,587 | $61,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 1,790 | $61,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 2,021 | $61,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 1,435 | $61,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 576 | $61,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,797 | $61,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 48,200 | $61,000 | thousands by filing date | call |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 36,986 | $61,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 8,644 | $61,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 5,279 | $60,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 4,600 | $60,000 | thousands by filing date | put |
| SERVICE CORP INTL COM | 817565104 | Stock | 1,300 | $60,000 | thousands by filing date | call |
| ADMA BIOLOGICS INC | 000899104 | COM | 14,827 | $60,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 4,281 | $60,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 3,144 | $60,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,533 | $60,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,559 | $60,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 1,400 | $60,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 25,566 | $60,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 4,244 | $59,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 200 | $59,000 | thousands by filing date | call |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 500 | $59,000 | thousands by filing date | call |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 4,000 | $59,000 | thousands by filing date | call |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 5,575 | $59,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 10,000 | $59,000 | thousands by filing date | put |
| GLADSTONE LAND CORP | 376549101 | REIT | 4,523 | $59,000 | thousands by filing date | |
| MASTERCRAFT BOAT HOLDINGS IN | 57637H103 | COMMON STOCK | 3,753 | $59,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 1,939 | $59,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 2,500 | $59,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 1,883 | $59,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 1,486 | $59,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 14,165 | $59,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 5,386 | $59,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 11,230 | $59,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 2,191 | $59,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 1,294 | $59,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 279 | $58,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 7,640 | $58,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 3,801 | $58,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 2,929 | $58,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 5,600 | $58,000 | thousands by filing date | call |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 24,700 | $58,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 1,447 | $58,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 1,800 | $58,000 | thousands by filing date | put |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 7,610 | $58,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 50,000 | $58,000 | thousands by filing date | principal |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 39,935 | $57,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 1,194 | $57,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 5,392 | $57,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 2,150 | $57,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 7,480 | $57,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,267 | $57,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 1,013 | $57,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 8,412 | $57,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 7,097 | $57,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 20,632 | $57,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 11,200 | $57,000 | thousands by filing date | call |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 500 | $56,000 | thousands by filing date | put |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 2,251 | $56,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 1,300 | $56,000 | thousands by filing date | put |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 2,500 | $56,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 1,113 | $56,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 2,450 | $56,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 6,100 | $56,000 | thousands by filing date | put |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 7,836 | $56,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 3,184 | $56,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 6,675 | $56,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 4,600 | $56,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 2,173 | $56,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 43,599 | $56,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 1,200 | $55,000 | thousands by filing date | put |
| PHREESIA INC | 71944F106 | COM | 2,073 | $55,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 11,842 | $55,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 4,000 | $55,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 2,182 | $55,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 74,832 | $55,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 2,826 | $55,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 1,669 | $55,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 1,861 | $55,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 23,200 | $55,000 | thousands by filing date | put |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 9,613 | $55,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 9,361 | $55,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 2,023 | $55,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 724 | $54,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 1,461 | $54,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 2,856 | $54,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 3,355 | $54,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 3,120 | $54,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 5,200 | $54,000 | thousands by filing date | put |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 3,800 | $54,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 9,298 | $54,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y401 | CMN | 701 | $54,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 458 | $54,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 3,643 | $54,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 2,715 | $54,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 69,146 | $54,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 5,919 | $54,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 56,000 | $54,000 | thousands by filing date | principal |
| LUTHER BURBANK CORP | 550550107 | COM | 4,695 | $54,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 9,829 | $54,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P300 | NUVEEN ESG LRGVL | 1,604 | $53,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 281 | $53,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 4,025 | $53,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 5,785 | $53,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,928 | $53,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 872 | $53,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 19,441 | $53,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 5,709 | $53,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 38,454 | $53,000 | thousands by filing date | |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 24,000 | $53,000 | thousands by filing date | principal |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,502 | $53,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 13,900 | $53,000 | thousands by filing date | call |
| PICO HLDGS INC | 693366205 | COM NEW | 4,727 | $53,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 19,012 | $53,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 59,800 | $53,000 | thousands by filing date | call |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 16,000 | $53,000 | thousands by filing date | principal |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 5,039 | $53,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 12,791 | $53,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 21,569 | $53,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 2,800 | $52,000 | thousands by filing date | call |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 2,964 | $52,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,371 | $52,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 2,489 | $52,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 2,471 | $52,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 2,262 | $52,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 1,743 | $52,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 677 | $52,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 450 | $52,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,985 | $52,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 1,100 | $52,000 | thousands by filing date | call |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 1,300 | $52,000 | thousands by filing date | call |
| EXPRESS INC | 30219E103 | COMMON STOCK | 10,700 | $52,000 | thousands by filing date | put |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 11,885 | $52,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 2,975 | $52,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 1,321 | $52,000 | thousands by filing date | |
| CONYERS PK II ACQUISITION CO | 212896104 | COM CL A | 4,996 | $52,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17324XST8 | MKTS HLDGS MTNF 11/1 | 50,000 | $52,000 | thousands by filing date | principal |
| SNAP ON INC COM | 833034101 | Stock | 300 | $51,000 | thousands by filing date | put |
| REVOLVE GROUP INC CL A | 76156B107 | Stock | 2,800 | $51,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 2,689 | $51,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 11,358 | $51,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 801 | $51,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 793 | $51,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 702 | $51,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 3,456 | $51,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 4,604 | $51,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 49,000 | $51,000 | thousands by filing date | principal |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,900 | $51,000 | thousands by filing date | put |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 3,471 | $51,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 4,028 | $50,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 2,993 | $50,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 1,000 | $50,000 | thousands by filing date | put |
| IES HOLDINGS INC | 44951W106 | COM | 1,952 | $50,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 33,800 | $50,000 | thousands by filing date | call |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 14,243 | $50,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 4,133 | $50,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 2,182 | $50,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 1,305 | $50,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,778 | $50,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 1,042 | $50,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 5,846 | $50,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 2,998 | $50,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 3,530 | $50,000 | thousands by filing date | |
| CALAMP CORP | 128126AD1 | BOND | 60,000 | $50,000 | thousands by filing date | principal |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 6,812 | $50,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 10,113 | $50,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 1,633 | $49,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 4,200 | $49,000 | thousands by filing date | put |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 11,096 | $49,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,498 | $49,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 9,109 | $49,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 15,000 | $49,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 1,656 | $49,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 6,563 | $49,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,280 | $49,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 9,500 | $49,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,577 | $49,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,173 | $49,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 9,997 | $49,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 6,935 | $49,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 10,400 | $49,000 | thousands by filing date | put |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 2,258 | $49,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 5,440 | $49,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 1,864 | $48,000 | thousands by filing date | |
| THE BALDWIN INSURANCE GRP IN | 05589G102 | COM CL A | 3,019 | $48,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 2,471 | $48,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 1,870 | $48,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 1,922 | $48,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 4,938 | $48,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 305 | $48,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 3,200 | $48,000 | thousands by filing date | call |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 1,016 | $48,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 380 | $48,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 2,646 | $48,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 1,567 | $47,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 800 | $47,000 | thousands by filing date | put |
| CRITEO S A SPONS ADS | 226718104 | ADR | 2,711 | $47,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 967 | $47,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V217 | S&P MDCP400 PR | 308 | $47,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 789 | $47,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 1,991 | $47,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 2,600 | $47,000 | thousands by filing date | call |
| CALAMOS DY COM NPV | 12811V105 | COM | 2,200 | $47,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 487 | $47,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 5,000 | $47,000 | thousands by filing date | put |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 649 | $47,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 14,500 | $47,000 | thousands by filing date | put |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 5,900 | $47,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 1,300 | $47,000 | thousands by filing date | put |
| SERES THERAPEUTICS INC | 81750R102 | COM | 13,742 | $47,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 3,007 | $47,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 5,135 | $47,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 2,397 | $47,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 2,655 | $47,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 2,877 | $47,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,175 | $47,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 1,366 | $47,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 3,564 | $47,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 6,175 | $47,000 | thousands by filing date | put |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 1,752 | $46,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 4,100 | $46,000 | thousands by filing date | put |
| CERUS CORP | 157085101 | COM | 11,000 | $46,000 | thousands by filing date | put |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 1,421 | $46,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 2,029 | $46,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,804 | $46,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 7,803 | $46,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,730 | $46,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 2,501 | $46,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 3,402 | $46,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 4,367 | $46,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 5,431 | $46,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 1,830 | $46,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 2,035 | $46,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 5,239 | $45,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 35,000 | $45,000 | thousands by filing date | call |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 11,376 | $45,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 600 | $45,000 | thousands by filing date | call |
| GRAHAM CORP | 384556106 | COM | 2,078 | $45,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 4,000 | $45,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,157 | $45,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 5,640 | $45,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 779 | $45,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 14,700 | $45,000 | thousands by filing date | put |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 2,530 | $45,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 12,500 | $45,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 1,760 | $45,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 2,031 | $45,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 400 | $44,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 32,300 | $44,000 | thousands by filing date | put |
| MAGNA INTL INC COM | 559222401 | Stock | 800 | $44,000 | thousands by filing date | put |
| ROBERT HALF INC. COM | 770323103 | Stock | 700 | $44,000 | thousands by filing date | call |
| TRANSCAT INC | 893529107 | COM | 1,386 | $44,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 100 | $44,000 | thousands by filing date | call |
| RADIANT LOGISTICS INC | 75025X100 | COM | 7,886 | $44,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 6,904 | $44,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 838 | $44,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 4,463 | $44,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 2,554 | $44,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 1,488 | $44,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,848 | $44,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 8,200 | $44,000 | thousands by filing date | put |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 3,872 | $44,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 2,487 | $44,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 5,024 | $44,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 5,022 | $44,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 27,884 | $44,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 3,049 | $44,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 21,000 | $44,000 | thousands by filing date | principal |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,895 | $44,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 2,584 | $44,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 3,788 | $44,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 7,800 | $44,000 | thousands by filing date | put |
| ACCEL ENTERTAINMENT INC | 00436Q114 | *W EXP 11/20/202 | 15,000 | $44,000 | thousands by filing date | call |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 1,872 | $43,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 5,788 | $43,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 5,266 | $43,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 825 | $43,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 3,432 | $43,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 2,434 | $43,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 3,757 | $43,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 1,507 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 664 | $43,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 5,886 | $43,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 2,576 | $43,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 9,500 | $43,000 | thousands by filing date | put |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 6,600 | $43,000 | thousands by filing date | call |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 8,600 | $43,000 | thousands by filing date | put |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 10,758 | $43,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 18,000 | $43,000 | thousands by filing date | principal |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 537 | $42,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 600 | $42,000 | thousands by filing date | put |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 4,417 | $42,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 2,028 | $42,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 9,963 | $42,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 2,619 | $42,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 589 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 367 | $42,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 2,440 | $42,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 2,633 | $42,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 928 | $42,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 1,630 | $42,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 3,130 | $42,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 5,823 | $42,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 27,000 | $42,000 | thousands by filing date | principal |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,347 | $42,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 3,019 | $42,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 6,940 | $42,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,840 | $42,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 4,400 | $42,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 5,772 | $41,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 7,900 | $41,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 1,400 | $41,000 | thousands by filing date | call |
| CERUS CORP | 157085101 | COM | 9,700 | $41,000 | thousands by filing date | call |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 3,082 | $41,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,390 | $41,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 3,639 | $41,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 13,600 | $41,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 7,197 | $41,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 3,386 | $41,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 8,872 | $41,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 2,585 | $41,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 17,362 | $41,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,650 | $41,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 3,567 | $41,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 1,376 | $41,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 19,800 | $41,000 | thousands by filing date | put |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 5,243 | $41,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 872 | $40,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 29,200 | $40,000 | thousands by filing date | call |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 5,639 | $40,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 2,200 | $40,000 | thousands by filing date | put |
| WP CAREY INC COM | 92936U109 | REIT | 500 | $40,000 | thousands by filing date | put |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 5,149 | $40,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 1,000 | $40,000 | thousands by filing date | put |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 1,300 | $40,000 | thousands by filing date | call |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 1,300 | $40,000 | thousands by filing date | put |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 1,900 | $40,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 3,931 | $40,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 17,100 | $40,000 | thousands by filing date | call |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 2,871 | $40,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,382 | $40,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 2,004 | $40,000 | thousands by filing date | |
| PACER TRENDPILOT 100 ETF | 69374H303 | ETF | 1,000 | $40,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 710 | $40,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 2,576 | $40,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 8,046 | $40,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 64,800 | $40,000 | thousands by filing date | call |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 3,603 | $40,000 | thousands by filing date | |
| NICE SYS INC | 65366HAB9 | BOND | 21,000 | $40,000 | thousands by filing date | principal |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 41,000 | $40,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-20-000026 | this filing | 2020-02-12 | acceptance time not in the bulk data set |