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 |
|---|---|---|---|---|---|---|
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 1,200 | $39,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 1,070 | $39,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 2,586 | $39,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 1,100 | $39,000 | thousands by filing date | put |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 1,099 | $39,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 1,088 | $39,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 4,520 | $39,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 3,331 | $39,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 2,298 | $39,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 688 | $39,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 2,074 | $39,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 2,009 | $39,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 2,710 | $39,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,558 | $39,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 1,244 | $39,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,167 | $39,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,598 | $39,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,322 | $39,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 5,598 | $39,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,776 | $39,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 3,200 | $39,000 | thousands by filing date | put |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,426 | $39,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 28,686 | $39,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 4,327 | $39,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 1,500 | $39,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 505 | $38,000 | thousands by filing date | |
| 10X GENOMICS INC CL A COM | 88025U109 | Stock | 500 | $38,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 1,219 | $38,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 1,240 | $38,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 2,059 | $38,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 1,732 | $38,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 2,581 | $38,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 3,058 | $38,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 600 | $38,000 | thousands by filing date | put |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 12,367 | $38,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 893 | $38,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 3,828 | $38,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 7,931 | $38,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,134 | $38,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 3,181 | $38,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 987 | $38,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 1,000 | $38,000 | thousands by filing date | put |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,732 | $38,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 994 | $38,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 8,628 | $38,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 9,000 | $38,000 | thousands by filing date | principal |
| EVANS BANCORP INC | 29911Q208 | COM | 947 | $38,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 4,331 | $38,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 19,000 | $38,000 | thousands by filing date | principal |
| Schwab US REIT ETF | 808524847 | SHS | 795 | $37,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 3,300 | $37,000 | thousands by filing date | call |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,393 | $37,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 1,800 | $37,000 | thousands by filing date | call |
| CORMEDIX INC COM | 21900C308 | Stock | 5,150 | $37,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 1,950 | $37,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 3,994 | $37,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 3,591 | $37,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 376 | $37,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 413 | $37,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 2,348 | $37,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 2,207 | $37,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 5,468 | $37,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 617 | $37,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,829 | $37,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 620 | $37,000 | thousands by filing date | |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 936 | $37,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 3,329 | $37,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 787 | $37,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 105,961 | $37,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 12,900 | $37,000 | thousands by filing date | call |
| MESA AIR GROUP INC | 590479135 | COM NEW | 4,170 | $37,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 18,042 | $37,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 2,794 | $37,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 59,900 | $37,000 | thousands by filing date | put |
| ATHERSYS INC | 04744L106 | COM | 29,990 | $37,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 3,047 | $37,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 1,200 | $36,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 2,826 | $36,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 4,400 | $36,000 | thousands by filing date | put |
| ENERGY FUELS INC | 292671708 | COM NEW | 18,907 | $36,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 9,656 | $36,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 4,141 | $36,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,580 | $36,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,893 | $36,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 653 | $36,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 2,337 | $36,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 4,385 | $36,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 2,188 | $36,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 7,300 | $36,000 | thousands by filing date | put |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,178 | $36,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 1,322 | $36,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 7,400 | $36,000 | thousands by filing date | call |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 3,538 | $36,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,000 | $36,000 | thousands by filing date | call |
| RETROPHIN INC | 761299106 | COM | 2,500 | $36,000 | thousands by filing date | call |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 9,983 | $36,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,000 | $36,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 1,153 | $36,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 209 | $35,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 8,223 | $35,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 6,200 | $35,000 | thousands by filing date | call |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 2,100 | $35,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 2,500 | $35,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 557 | $35,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 1,822 | $35,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 2,056 | $35,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 1,453 | $35,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 38,446 | $35,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 14,113 | $35,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 13,900 | $35,000 | thousands by filing date | put |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 1,514 | $35,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 4,166 | $35,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 529 | $35,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 6,966 | $35,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 2,501 | $34,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 792 | $34,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 2,625 | $34,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 3,714 | $34,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 7,862 | $34,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,994 | $34,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 748 | $34,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 700 | $34,000 | thousands by filing date | put |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 1,333 | $34,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 2,562 | $34,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 16,549 | $34,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 10,100 | $33,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 36,134 | $33,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 655 | $33,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 249 | $33,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 831 | $33,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 8,180 | $33,000 | thousands by filing date | call |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 400 | $33,000 | thousands by filing date | put |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 1,277 | $33,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 277 | $33,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 1,000 | $33,000 | thousands by filing date | call |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 1,000 | $33,000 | thousands by filing date | put |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 2,521 | $33,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 2,558 | $33,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 490 | $33,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 2,863 | $33,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 600 | $33,000 | thousands by filing date | put |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 6,116 | $33,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 2,249 | $33,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 1,424 | $33,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 5,521 | $33,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 1,084 | $33,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 1,010 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 1,200 | $33,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 6,848 | $33,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 23,556 | $33,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 8,611 | $33,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 15,724 | $33,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,280 | $33,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 1,000 | $33,000 | thousands by filing date | |
| NOVAVAX INC | 670002AB0 | NOTE 3.750% 2/0 | 84,000 | $33,000 | thousands by filing date | principal |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 1,172 | $33,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 21,027 | $33,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,755 | $33,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 889 | $32,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 546 | $32,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 1,100 | $32,000 | thousands by filing date | put |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 4,000 | $32,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 1,016 | $32,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 2,000 | $32,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 800 | $32,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 901 | $32,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 4,084 | $32,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 1,930 | $32,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 2,577 | $32,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 832 | $32,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 5,700 | $32,000 | thousands by filing date | call |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 12,193 | $32,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 3,020 | $32,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 1,628 | $32,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 5,724 | $32,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,649 | $32,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 22,000 | $32,000 | thousands by filing date | principal |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 21,000 | $32,000 | thousands by filing date | principal |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 11,339 | $32,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 3,899 | $32,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,848 | $32,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 1,969 | $32,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 581 | $31,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 207 | $31,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 1,353 | $31,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 2,751 | $31,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 6,147 | $31,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 2,095 | $31,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 2,246 | $31,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 599 | $31,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 2,477 | $31,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 1,200 | $31,000 | thousands by filing date | put |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 2,797 | $31,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 977 | $31,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,469 | $31,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 11,387 | $31,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 3,642 | $31,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 2,000 | $31,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 6,848 | $31,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 18,000 | $31,000 | thousands by filing date | principal |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 10,108 | $31,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 4,279 | $31,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 1,334 | $30,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 700 | $30,000 | thousands by filing date | put |
| CADIZ INC | 127537207 | COM NEW | 2,750 | $30,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,985 | $30,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 4,169 | $30,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 2,254 | $30,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 713 | $30,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 923 | $30,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 34,175 | $30,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 10,042 | $30,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 600 | $30,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 1,042 | $30,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 3,274 | $30,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 2,210 | $30,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 7,479 | $30,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 884 | $30,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 1,217 | $30,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 2,053 | $30,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 3,100 | $30,000 | thousands by filing date | call |
| ROCKWELL MED INC | 774374102 | COM | 12,397 | $30,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 1,609 | $30,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,645 | $30,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 1,096 | $30,000 | thousands by filing date | |
| Invesco Bulletshares 2022 Munic | 46138J551 | Equities | 1,200 | $30,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 3,106 | $30,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 1,837 | $30,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 1,600 | $29,000 | thousands by filing date | call |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 569 | $29,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 579 | $29,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,135 | $29,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 2,136 | $29,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 1,212 | $29,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 1,508 | $29,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 607 | $29,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 2,900 | $29,000 | thousands by filing date | put |
| DASEKE INC | 23753F107 | COM | 9,208 | $29,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 3,667 | $29,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 2,719 | $29,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 3,430 | $29,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 2,806 | $29,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 199 | $28,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 1,761 | $28,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 400 | $28,000 | thousands by filing date | put |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 300 | $28,000 | thousands by filing date | put |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 1,872 | $28,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 5,770 | $28,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 1,900 | $28,000 | thousands by filing date | call |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 2,765 | $28,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 2,000 | $28,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 1,091 | $28,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 10,460 | $28,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 2,695 | $28,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 1,105 | $28,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 781 | $28,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 1,872 | $28,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 16,739 | $28,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 1,129 | $28,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 4,456 | $28,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 3,418 | $28,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 500 | $28,000 | thousands by filing date | put |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,900 | $28,000 | thousands by filing date | call |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 20,000 | $28,000 | thousands by filing date | principal |
| CREDIT SUISSE AG NASSAU BRH | 22539T183 | VLCTYSHS 3X S&P | 385 | $28,000 | thousands by filing date | |
| ARCOSA INC COM | 039653100 | Stock | 600 | $27,000 | thousands by filing date | put |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 240 | $27,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 500 | $27,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 3,536 | $27,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HLDG PL | g8060n102 | SHS | 500 | $27,000 | thousands by filing date | call |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 798 | $27,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 300 | $27,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 6,659 | $27,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,372 | $27,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 989 | $27,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 2,041 | $27,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 387 | $27,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 1,000 | $27,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 7,194 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 400 | $27,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 1,200 | $27,000 | thousands by filing date | put |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 3,297 | $27,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 7,379 | $27,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 2,673 | $27,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 1,712 | $27,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 2,700 | $27,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 20,000 | $27,000 | thousands by filing date | principal |
| STARTEK INC | 85569C107 | COM | 3,327 | $27,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,400 | $27,000 | thousands by filing date | call |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 28,000 | $27,000 | thousands by filing date | principal |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 20,674 | $27,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 800 | $26,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 3,105 | $26,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 2,690 | $26,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 1,557 | $26,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 6,518 | $26,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 616 | $26,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 1,600 | $26,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 500 | $26,000 | thousands by filing date | put |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 1,793 | $26,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 1,531 | $26,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 4,200 | $26,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,175 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 1,400 | $26,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 6,444 | $26,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 2,330 | $26,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 860 | $26,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 1,043 | $26,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 300 | $25,000 | thousands by filing date | call |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 1,555 | $25,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,500 | $25,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 524 | $25,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 715 | $25,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 1,200 | $25,000 | thousands by filing date | call |
| ZYNEX INC | 98986M103 | COM | 3,170 | $25,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 158 | $25,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,489 | $25,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 2,228 | $25,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 1,058 | $25,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 761 | $25,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 767 | $25,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 2,379 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,104 | $25,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 26,000 | $25,000 | thousands by filing date | principal |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 568 | $25,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 23,000 | $25,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 2,500 | $25,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,674 | $25,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17324XTE0 | MKTS HLDGS MTNF 11/0 | 25,000 | $25,000 | thousands by filing date | principal |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 630 | $24,000 | thousands by filing date | |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 2,552 | $24,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 1,441 | $24,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V332 | S&P500 EQL HLT | 109 | $24,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 945 | $24,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 1,596 | $24,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,093 | $24,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 19,066 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 440 | $24,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 2,910 | $24,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 700 | $24,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 930 | $24,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,232 | $24,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 6,288 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 251 | $24,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 884 | $24,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 9,030 | $24,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 536 | $24,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 2,182 | $24,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 5,991 | $24,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 2,400 | $24,000 | thousands by filing date | put |
| SIERRA WIRELESS INC | 826516106 | COM | 2,535 | $24,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,592 | $24,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 1,999 | $24,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 18,800 | $24,000 | thousands by filing date | put |
| VALHI INC NEW | 918905100 | COM | 13,065 | $24,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 6,483 | $24,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $24,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 5,122 | $24,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 5,946 | $24,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 2,050 | $24,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 4,437 | $24,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 2,637 | $24,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,009 | $24,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 575 | $23,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 400 | $23,000 | thousands by filing date | put |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 2,200 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 230 | $23,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 1,540 | $23,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 2,000 | $23,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,154 | $23,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 8,029 | $23,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 3,242 | $23,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 2,398 | $23,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 4,755 | $23,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 761 | $23,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,034 | $23,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 9,305 | $23,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,000 | $23,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B362 | NYLI 500 INTERNA | 816 | $23,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 1,372 | $23,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 21,000 | $23,000 | thousands by filing date | principal |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 8,497 | $23,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 8,604 | $22,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 2,539 | $22,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 5,087 | $22,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 373 | $22,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 3,415 | $22,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 3,478 | $22,000 | thousands by filing date | put |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 193 | $22,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,735 | $22,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 384 | $22,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 337 | $22,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,669 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 1,508 | $22,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 3,525 | $22,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 1,365 | $22,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 1,793 | $22,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 10,977 | $22,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 4,378 | $22,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 12,876 | $22,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 1,428 | $22,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 2,700 | $22,000 | thousands by filing date | put |
| TALEND S A | 874224207 | ADS | 561 | $22,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 10,311 | $22,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 240,000 | $22,000 | thousands by filing date | call |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 331 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 295 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 700 | $21,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 1,000 | $21,000 | thousands by filing date | put |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 800 | $21,000 | thousands by filing date | put |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 1,500 | $21,000 | thousands by filing date | call |
| LIVENT CORP | 53814L108 | COM | 2,500 | $21,000 | thousands by filing date | call |
| FASTLY INC | 31188V100 | CL A | 1,029 | $21,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 377 | $21,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 3,500 | $21,000 | thousands by filing date | call |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,000 | $21,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 912 | $21,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,116 | $21,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 3,110 | $21,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,002 | $21,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 6,100 | $21,000 | thousands by filing date | call |
| TIVITY HEALTH INC | 88870R102 | COM | 1,050 | $21,000 | thousands by filing date | put |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 1,153 | $21,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 4,283 | $21,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,255 | $21,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 6,738 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 396 | $20,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 1,838 | $20,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 1,655 | $20,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 3,100 | $20,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 1,350 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,000 | $20,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 3,900 | $20,000 | thousands by filing date | call |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 1,354 | $20,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 4,652 | $20,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 1,391 | $20,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $20,000 | thousands by filing date | principal |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 11,000 | $20,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 1,015 | $20,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 4,588 | $20,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 16,000 | $20,000 | thousands by filing date | principal |
| BOXWOOD MERGER CORP | 10319T200 | UNIT 11/26/2025 | 2,000 | $20,000 | thousands by filing date | |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 618 | $19,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 1,322 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 439 | $19,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 1,100 | $19,000 | thousands by filing date | call |
| XPEL INC | 98379L100 | COM | 1,304 | $19,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,500 | $19,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 871 | $19,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 1,084 | $19,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 1,370 | $19,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 2,997 | $19,000 | thousands by filing date | call |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 1,158 | $19,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 664 | $19,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,792 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 300 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 219 | $19,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 1,300 | $19,000 | thousands by filing date | put |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 1,040 | $19,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 2,600 | $19,000 | thousands by filing date | call |
| RIGNET INC | 766582100 | COM | 2,912 | $19,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 3,182 | $19,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 3,500 | $19,000 | thousands by filing date | call |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 4,355 | $19,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,352 | $18,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 200 | $18,000 | thousands by filing date | put |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 3,822 | $18,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 600 | $18,000 | thousands by filing date | put |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 600 | $18,000 | thousands by filing date | call |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 237 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 315 | $18,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 300 | $18,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 437 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 320 | $18,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 1,445 | $18,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 1,308 | $18,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 3,223 | $18,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 1,200 | $18,000 | thousands by filing date | put |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 75 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 1,200 | $18,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 2,204 | $18,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,714 | $18,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 4,007 | $18,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 2,600 | $18,000 | thousands by filing date | call |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 888 | $18,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 1,300 | $18,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 6,927 | $18,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 2,836 | $18,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 21,000 | $18,000 | thousands by filing date | principal |
| GAMING & LEISURE P COM | 36467J108 | REIT | 400 | $17,000 | thousands by filing date | call |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 1,574 | $17,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 2,326 | $17,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 664 | $17,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 675 | $17,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 4,345 | $17,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 10,286 | $17,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 2,125 | $17,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 2,378 | $17,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 450 | $17,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 390 | $17,000 | thousands by filing date |
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 |